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  1. 30 November 2015

    ASB Bank Limited Waiver Notice

    ASB Bank Limited Waiver Notice under section 68 of the Financial Markets Conduct Act 2013 PDS consideration unnecessary

  10. 22 August 2024

    FMA v CBL Corporation Ltd in liq penalty

    The High Court has ordered Peter Harris, the former CBL Corporation Limited (In Liquidation) (CBLC) managing director, to pay a penalty of $1.4 million for continuous disclosure and misleading conduct breaches following proceedings brought by the FMA under the Financial Markets Conduct Act 2013 (FMCA) (the Continuous Disclosure Proceeding).

  13. 30 May 2022

    Exemption Notice - Stride Property Group

    The Financial Markets Conduct (Stride Property Group) Exemption Notice 2022 allows Stride Property Limited (SPL) and Stride Investment Management Limited Stride (SIML), as stapled entities (Stride Property Group), to prepare consolidated financial statements for the purposes of subpart 3 of Part 7 of the Financial Markets Conduct Act 2013 (the Act).

  14. 1 November 2014

    Declaration by senior manager of relevant party

    This declaration form should be completed by senior managers of a relevant party when applying for a market services licence under Part 6 of the Financial Markets Conduct Act 2013 (FMC Act) and disclosure is required by relevant parties, defined in regulation 189 of the Financial Markets Conduct Regulations 2014 (Regulations).