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Found 1596 results. Displaying page 53 of 107

29 June 2015

NZX Obligations Review 2015

The Financial Markets Conduct Act 2013 (FMC Act)
requires the FMA to carry out a review, at least annually,
of how well a licensed market operator is meeting the
market operator obligations contained in section 314 of
the FMC Act, and to publish a written report. This report was published in 2015.

Tags

Reports and Papers, Market operator, Roles, Monitoring, Business, News & Insights

Type

PDF
9 July 2020

Consultation review of 16 class exemptions notices expiring in 2021

We are seeking feedback on our review of 16 class exemption notices that support the regime under the Financial Markets Conduct Act 2013 (FMC Act). These notices will expire between August and December 2021.
We would like feedback to inform our review of these class notices.

Tags

Consultations, FMC Act, Legislation, Business

Type

PDF
16 June 2021

Financial advice lender exclusion updated 2021

This information sheet explains the circumstances that may exclude a lender from some Financial Markets Conduct Act 2013 (FMC Act) obligations related to financial advice. The exclusion applies only in relation to consumer credit contracts and certain credit-related insurance contracts. Updated documented published 16/06/21

Tags

Financial Adviser, Roles, Business

Type

PDF, Information Sheet
29 October 2019

FMA Model Litigant Policy

This policy has been developed by the Financial Markets Authority (FMA). It is a statement of principles and embodies the commitment made by FMA on how we will conduct litigation. It is intended to reflect the existing law and is not intended to amend the law or impose additional legal or professional obligations on legal practitioners or other individuals.

Tags

Policy, Business, FMA, Enforcement

Type

PDF
18 January 2021

Consulation Review of wholesale investor exclusion exemption

This consultation is for all interested people including wholesale investors, banks, brokers, issuers and legal advisers. It seeks feedback to inform our review of the
Financial Markets Conduct (Wholesale Investor Exclusion - $750,000 Minimum Investment) Exemption Notice 2017.

Tags

Offer disclosure for equity and debt offers, Managed investment schemes, Consultations, Roles, Supervisor, Business

Type

PDF
17 December 2015

Consultation paper Recognition of Overseas regimes proposed exemption relief

This consultation is for: overseas issuers, overseas FMC reporting entities, their advisers and auditors. It aims to: test the appropriate level of disclosure, governance, financial reporting and audit relief required by overseas entities under the Financial Markets Conduct Act 2013.

Tags

Auditors, Consultations, Roles, Business

Type

PDF
5 November 2015

Consultation paper charities debt securities exemption

We are consulting on whether charities issuing debt securities should be subject to standard Financial Markets Conduct Act 2013 (FMC Act) obligations. The FMC Act requires organisations offering debt securities to disclose certain information and to have a licensed supervisor.

Tags

Consultations, Business

Type

PDF
27 February 2015

Issuers registers of regulated products and the FMAs discretion under section 224

This information sheet outlines the requirements relating to issuers’ registers of regulated products under Subpart 4 of Part 4 of the Financial Markets Conduct Act 2013 (FMC Act). It also sets out how the FMA will exercise its discretion to authorise an issuer to decline a request for a copy of a register under section 224 of the FMC Act.

Tags

Derivative Issuer, Offer disclosure for equity and debt offers, Roles, Business

Type

PDF, Information Sheet
24 May 2017

Licensing overview report 2017

The licensing overview report 2017 aims to outline how the FMA applied a flexible approach to applications; explains how the minimum standards and FMC Act eligibility criteria fit together; shows the linkage between good conduct and minimum standards, signals our fugure focus and clarified ongoing legal obligations.

Tags

Crowdfunding providers, Derivative Issuer, Discretionary investment management scheme (DIMS), Independent trustee, Licensing & registration, Roles, Business, Managed investment schemes, Peer-to-peer lending service providers

Type

PDF, Report
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

Tags

Reports and Papers, Roles, Business, Market operator, News & Insights

Type

PDF
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.

Tags

Banking, Conduct, Insurance Providers, Conduct of Financial Institutions Bill (CoFI), Financial Institutions, Business, News & Insights

Type

PDF, Guidance
24 February 2015

Reporting SIPO limit breaks Information sheet

This information sheet outlines the reporting obligations of a Managed Investment Scheme (MIS) manager if there has been a limit break under its Statement of Investment Policy and Objectives (SIPO) under Part 4 of the Financial Markets Conduct Act 2013 (FMC Act).

Tags

Roles, Business, Managed investment schemes, Supervisor

Type

PDF, Information Sheet
1 September 2017

Disclosing non gaap financial information guidance

This guidance replaces our 2012 Guidance note: Disclosing non-GAAP financial information to reflect the requirements of the Financial Markets Conduct Act 2013 (FMC Act) and our findings from the review of non-GAAP financial information since 2012.

Tags

Compliance, Reporting entities, Business

Type

PDF, Guidance
4 April 2023

Effective disclosure guidance

This guidance note is for Issuers of securities under the Securities Act 1978 pursuant to the transitional provisions of the Financial Markets Conduct Act 2013. It is also for their directors and advisers. It gives guidance on the approach the Financial Markets Authority (FMA) intends to take in reviewing prospectuses and investment statements for compliance with the law.

Tags

Directors, Roles, Derivative Issuer, Business

Type

PDF, Guidance
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).

Tags

AML/CFT, Roles, Reporting entities, Business

Type

PDF