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Found 1596 results. Displaying page 29 of 107

1. 22 March 2023

   Samantha Barrass, FMA Chief Executive, keynote speech at the IFSO Conference on Fair Conduct

   Samantha Barrass, FMA Chief Executive, keynote speech at the IFSO Conference on Fair Conduct at 4 Points by Sheraton, Auckland on Wednesday, 22 March 2023.

   Tags

   Speeches and presentations , Conduct of Financial Institutions Bill (CoFI), Business, News & Insights

   Type

   Page

2. 28 April 2017

   Financial Markets Conduct (Plus500AU Pty Ltd) Exemption Notice 2017

   Financial Markets Conduct (Plus500AU Pty Ltd) Exemption Notice 2017

   Tags

   Exemptions, Business

   Type

   Page

3. 25 October 2019

   Financial Markets Conduct (trueEX LLC) Exemption Revocation Notice 2019

   The Financial Markets Conduct (trueEX LLC) Exemption Revocation Notice 2019 revokes the Financial Markets Conduct (trueEX LLC) Exemption Notice 2018 which exempted trueEX from having to be licenced to provide a financial product market. This exemption revoking the earlier exemption has been granted on the request of trueEX as it is no longer operating the financial product market.

   Tags

   Exemptions, Business

   Type

   Page

4. 10 March 2017

   Financial Markets Conduct (JP Morgan Chase Bank N.A.) Exemption Notice 2017

   Financial Markets Conduct (JP Morgan Chase Bank N.A.) Exemption Notice 2017

   Tags

   Exemptions, Business

   Type

   Page

5. 30 October 2020

   Financial Markets Conduct (NZX Rules) Approval of Rule Change Notice 2020 –2020

   Financial Markets Conduct (NZX Rules) Approval of Rule Change Notice 2020 which aplies to Derivative Market Rules; NZX Participant Rules; Fonterra Share Market Listing Rules and NZ Markets Disciplinary Tribunal Rules.

   Tags

   FMC Act, Legislation, Roles, Business, Market operator

   Type

   PDF

6. 24 February 2015

   Information sheet Related party transactions under the Financial Markets Conduct Act 2013.1.1

   This information sheet outlines the rules on related-party transactions that apply to managed investment schemes under the Financial Markets Conduct Act 2013 (FMC Act).

   Tags

   Roles, Business, Managed investment schemes

   Type

   PDF

7. 26 July 2021

   Regulators’ discussion on Conduct of Financial Institutions Amendment Bill, Financial Markets Law Conference 2021

   Regulators’ discussion on Conduct of Financial Institutions Amendment Bill, Financial Markets Law Conference, Auckland, 26 July 2021

   Tags

   Speeches and presentations , News & Insights

   Type

   PPT

8. 13 November 2018

   Financial Markets Conduct (Crédit Agricole S.A.) Exemption Notice 2016

   Financial Markets Conduct (Crédit Agricole S.A.) Exemption Notice 2016

   Tags

   Exemptions, Business

   Type

   Page

9. 30 November 2014

   Exclusions under the Financial Markets Conduct Act 2013 FMC Act Summary of Schedule 1

   Exclusions under the Financial Markets Conduct Act 2013 FMC Act Summary of Schedule 1. Published November 2014.

   Tags

   FMC Act, Legislation, Business

   Type

   PDF, Information Sheet

10. 8 March 2022

    Financial Markets Conduct (JP Morgan Chase Bank N.A.) Exemption Notice 2022

    The Financial Markets Conduct (JP Morgan Chase Bank N.A) Exemption Notice 2022 exempts exempt persons (being JP Morgan Chase Bank N.A (JPM) and any related body corporate of JPM) from the substantial product holder disclosure obligations contained in sections 276 to 279 of the Financial Markets Conduct Act 2013

    Tags

    Exemptions, Business

    Type

    Page

11. 20 July 2018

    Financial Markets Conduct (Kuaotunu Camp Ground (2008) Limited) Exemption Notice 2018

    Financial Markets Conduct (Kuaotunu Camp Ground (2008) Limited) Exemption Notice 2018 exempts Kuaotunu Camp Ground (2008) Limited from Part 7 of the Act with respect to a particular accounting period if some conditions are met. Read more.

    Tags

    Exemptions, Business

    Type

    Page

12. 7 August 2023

    Financial Markets Conduct (Kuaotunu Camp Ground (2008) Limited) Exemption Notice 2023

    The Financial Markets Conduct (Kuaotunu Camp Ground (2008) Limited) Exemption Notice 2023 exempts Kuaotunu Camp Ground (2008) Limited (Kuaotunu) from Part 7 of the Financial Markets Conduct Act 2013 (Act).

    Tags

    Exemptions, Business

    Type

    Page, Exemption notice, Current, Financial Markets Conduct Act exemptions

13. 1 May 2016

    Financial Markets Conduct (Craigs Investment Partners Limited Contingency DIMS) Exemption Notice 2016

    Financial Markets Conduct (Craigs Investment Partners Limited Contingency DIMS) Exemption Notice 2016.

    Tags

    Exemptions, Business

    Type

    Page

14. 5 February 2017

    Financial Markets Conduct (Wholesale Investor Exclusion—$750,000 Minimum Investment) Exemption Notice 2016

    Financial Markets Conduct (Wholesale Investor Exclusion—$750,000 Minimum Investment) Exemption Notice 2016 - expired on 2017-02-04.

    Tags

    Exemptions, Business

    Type

    Page

15. 4 November 2016

    Financial Markets Conduct (Midlands Mortgage Trust Group Investment Fund) Exemption Notice 2016

    Financial Markets Conduct (Midlands Mortgage Trust Group Investment Fund) Exemption Notice 2016 expired

    Tags

    Exemptions, Business

    Type

    Page