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Found 377 results. Displaying page 19 of 26

18 May 2023

Exemption Notice - Embark Early Education Limited

The Financial Markets Conduct (Embark Early Education Limited) Exemption Notice 2023 exempts Embark Early Education Limited (Embark AU) from Part 3 of the Financial Markets Conduct Act 2013 (the Act) in relation to shares in Embark AU that are to be offered to eligible shareholders under a proposed scheme of arrangement pursuant to Part 15 of the Companies Act 1993.
29 April 2024

AML/CFT Customer Due Diligence – Companies

This guidance assists reporting entities to conduct customer due diligence (CDD) under the AML/CFT Act 2009 on their customers who are companies. Published Oct 2022.
13 March 2018

Self select retirement schemes information for scheme managers

This information sheet explains how these schemes are regulated under the Financial Markets Conduct Act 2013 (FMC Act) and what exemptions and waivers may be available.
12 December 2017

Class legislative notice summary 2017

This is a summary of the Financial Markets Conduct Act and Financial Adviser Act class legislative notices we have granted in effect as at 1 December 2017.
29 August 2022

Kalkine New Zealand Limited - Direction Order

FMA directs Kalkine New Zealand Limited to stop making outgoing sales calls to people in New Zealand following concerns about the entity’s misleading marketing conduct. 10 August 2022.
13 November 2019

Ease of doing business survey report 2019

The FMA commissioned Buzz Channel to conduct research among key stakeholders to understand the effectiveness of interactions FMA has with stakeholders and satisfaction with the service it provides.
28 March 2019

Richard Owen Dey - Notice of decision NZICA

Notice by the NZ Institute of Chartered Accountants and notice of decision and order of the professional conduct committee on 4 February2019 in respect of Richard Owen Dey.
1 May 2014

Governance and accountability framework for restricted schemes and their trustees information sheet

The Financial Markets Conduct (FMC) Act 2013 changes the governance and accountability framework for financial products. Find out what these changes mean for restricted schemes and their trustees.
1 May 2014

Governance and accountability framework for debt issuers and their licensed supervisors

The Financial Markets Conduct Act 2013 changes the governance and accountability framework for financial products. Find out what these changes mean for debt issuers and their licensed supervisors.
20 May 2019

Audit Quality Perceptions - research summary 2019

The FMA commissioned Buzz Channel to conduct research to help understand how users of audit services in New Zealand perceive auditors’ contribution to fair, efficient and transparent NZ financial markets.
29 April 2024

AML/CFT Customer Due Diligence – Sole traders and partnerships

This guidance assists reporting entities to conduct customer due diligence (CDD) under the AML/CFT Act 2009 on their customers who are sole traders, partnerships, or limited partnerships. Published April 2024.
30 January 2024

Exemption Notice BGC revocation notice

This notice, which comes into force on the day after the date of its notification in the Gazette, revokes the Financial Markets Conduct (BGC Partners (Australia) Pty Limited) Exemption Notice 2022.
10 October 2017

The Bank Bill Benchmark Rate and closing rates guidance note

This guidance clarifies the FMA’s expectations about the trading conduct and controls for firms participating in the trading that sets BKBM and closing rates in the New Zealand market. October 2017.
19 March 2024

Licensing application guide - Derivatives issuers PART B5

Your guide to applying for a derivative issuer market service licence under the Financial Markets Conduct Act. Please make sure you read this guide in conjunction with our ‘Part A’ licensing guide.
11 July 2022

Class legislative notice summary 2022

This is a summary of the Financial Markets Conduct Act class legislative notices we have granted as at 1 June 2022. It includes exemptions, designations, frameworks or methodologies, and public accountability notices.