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Found 402 results. Displaying page 22 of 27

1. 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.

2. 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.

3. 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.

4. 26 June 2023

   CoFI intermediated distribution submissions report

   Submissions report: Proposed guidance on CoFI intermediated distribution. Collation of written feedback received as part of the FMA’s public consultation on the proposed CoFI (Conduct of Financial Institutions) guidance note on intermediated distribution.

5. 12 April 2023

   Wei (Walker) Zhong and Lei (Regina) Ding - Judgment

   High Court Judgment: Wei (Walker) Zhong and Lei (Regina) Ding have been found to have contravened the Financial Markets Conduct Act 2013 in relation to the trading of Oceania Natural Limited (ONL) shares.

6. 31 August 2022

   Wisdom House and Yuen Pok (Paul) Loo - Stop Order

   The permanent stop order that applies to Wisdom House Investment Partners Limited and Yuen Pok (Paul) Loo, after they engaged in misleading and dishonest conduct, that the FMA ordered on 31 August 2022.

7. 9 December 2020

   Ease of doing business survey report 2020

   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. This is the 2020 report.

8. 23 April 2015

   DIMS limit breaks under the FMC Act

   This information sheet outlines the obligations of Discretionary Investment Management Services (DIMS) providers under the Financial Markets Conduct Act 2013 (FMC Act) relating to investment authority limits and reporting breaches of those limits.

9. 29 April 2024

   AML/CFT Enhanced Customer Due Diligence Guideline

   This guideline assists you to conduct enhanced customer due diligence (enhanced CDD) on your customers under the Anti-Money Laundering and Countering Financing of Terrorism (AML/CFT) Act 2009 (the Act). Published October 2022.

10. 2 February 2023

    Reasonable grounds for financial advice about financial products - guidance

    Guidance on the FMA’s approach to applying and enforcing Code Standard 3 of the Code of Professional Conduct for Financial Advice Services, in relation to financial advice about financial products purchased for investment purposes.

11. 29 June 2021

    ICE Futures Europe general obligations review 2021

    The UK Financial Conduct Authority (FCA) is IFEU’s primary regulator. Our review therefore focuses on whether the FCA was satisfied with IFEU’s compliance during the review period. 2021 ICE Futures Europe general obligations review

12. 23 August 2019

    Standard conditions for independent trustee corporates

    If the FMA grants you an independent trustee licence (as a corporate), the licence will be subject to conditions as set out in section 402 of the Financial Markets Conduct Act 2013 (FMC Act).

13. 23 August 2019

    Standard conditions for independent trustee individuals

    If the FMA grants you an independent trustee licence (as an individual), the licence will be subject to conditions as set out in section 402 of the Financial Markets Conduct Act 2013 (FMC Act).

14. 30 May 2018

    Compliance assurance programmes information sheet

    The information sheet is for entities holding or applying for a licence under the Financial Markets Conduct Act 2013, and anyone involved in the creation, implementation and ongoing operation of a compliance assurance programme.

15. 1 May 2018

    AML/CFT Risk Assessment Guideline

    This guideline is designed to help you conduct your money laundering and terrorism financing risk assessment (risk assessment) under the Anti-Money Laundering and Countering Financing of Terrorism (AML/CFT) Act 2009 (the Act).