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Found 2974 results. Displaying page 44 of 199

1. 10 August 2021

   Feedback form Proposed financial reporting exemptions for insolvent FMC entities

   Feedback form: Proposed financial reporting exemptions for insolvent FMC entities

   Tags

   FMC Act, Consultations, Legislation, Business

   Type

   Word document, Submission form

2. 10 August 2021

   Consultation Proposed financial reporting exemptions for insolvent FMC entities

   Tags

   Type

   PDF

3. 18 November 2013

   Changes ahead for Financial Reporting FMA Factsheet

   Information sheet relating to the Financial Reporting Bill and what to expect: 18 November 2013.

   Tags

   Roles, Banking, Business

   Type

   PDF, Financial reporting, Information Sheet

4. 11 July 2013

   consultation paper practical implications of reporting entities transacting with other reporting entities and the factsheet on managing intermediaries

   In this paper FMA seeks submissions on the practical implications of the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (‘AML/CFT Act’) in situations where reporting entities are transacting with other reporting entities.

   Tags

   AML/CFT, Consultations, Roles, Reporting entities, Business

   Type

   PDF

5. 5 February 2019

   OIA Reporting Enitites

   OIA response, dated 5 February 2019, regarding the number of times in 2019 that the FMA requested a reporting entity (RE) seek an audit of its risk assessment

   Tags

   FMA

   Type

   PDF, OIA

6. 31 January 2014

   consultation paper financial reporting regulatory policy for financial reporting designations and exemptions

   Tags

   Type

   PDF

7. 10 December 2021

   Outsourcing CDD to a third party provider Reminder to FMA and DIA reporting entities

   While third-party providers can provide a useful service, both the DIA and FMA are aware of an increasing number of reporting entities taking a view that the third-party provider “just takes care of it all” and that all CDD requirements are then met. This is not the case. Read more about outsourcing your CDD requirments.

   Tags

   AML/CFT, Reporting entities, Roles, Business

   Type

   PDF

8. 9 December 2020

   Overseas research reports 2020

   Research reports produced by overseas firms may be distributed by New Zealand advice firms to their retail clients. This information sheet discusses how this will be regulated under the Financial Markets Conduct Act 2013 from 15 March 2021.

   Tags

   Reports and Papers, Authorised body under a FAP, Client money or property services provider, Crowdfunding providers, Cryptocurrencies, Directors, Financial Advice Provider, Financial Adviser, Roles, Business, News & Insights

   Type

   PDF

9. 1 September 2022

   Consultation: Proposed class exemption for restricted schemes from certain disclosure and reporting obligations

   The FMA is consulting on a proposed class exemption for restricted schemes from certain disclosure and reporting obligations under the Financial Markets Conduct Regulations 2014.

   Tags

   Managed investment schemes, Supervisor, Consultations, Roles, Business

   Type

   Page

10. 16 August 2022

    Financial Markets Conduct (Restricted Schemes-Disclosure and Reporting) Exemption Notice 2022

    Financial Markets Conduct (Restricted Schemes-Disclosure and Reporting) Exemption Notice 2022

    Tags

    Type

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

11. 31 January 2014

    Consultation: Financial Reporting - Regulatory policy for financial reporting designations and exemptions

    Consultation: Financial Reporting - Regulatory policy for financial reporting designations and exemptions. We invite you to review our policies and the proposed changes and share your feedback on them with us. Submissions close on 28 February 2014.

    Tags

    Designations, Consultations, Business

    Type

    Page, Financial reporting

12. 11 July 2013

    Consultation paper: Practical implications of Reporting Entities transacting with other Reporting Entities and the Factsheet on Managing Intermediaries

    Consultation paper: Practical implications of Reporting Entities transacting with other Reporting Entities and the Factsheet on Managing Intermediaries. Read more here.

    Tags

    AML/CFT, Reporting entities, Consultations, Roles, Business

    Type

    Page

13. 5 June 2015

    Financial Markets Conduct (Financial Reporting—DIMS Licensees)

    Financial Markets Conduct (Financial Reporting—DIMS Licensees) Exemption Notice 2015 - expired

    Tags

    Exemptions, Secondary legislation, Business

    Type

    Page

14. 5 June 2015

    Consultation paper: Proposed financial reporting exemptions for small and medium-sized DIMS providers

    Consultation paper: Proposed financial reporting exemptions for small and medium-sized DIMS providers. We consulted on a class exemption for small and medium-sized licensed DIMS providers from certain financial reporting obligations. This consultation is now closed.

    Tags

    Discretionary investment management scheme (DIMS), Consultations, Exemptions, Roles, Business

    Type

    Page

15. 2 December 2022

    FMA releases 2022 CPA Australia and NZICA accredited body reports

    We have published the 2022 accredited body reports for CPA Australia and the New Zealand Institute of Chartered Accountants (NZICA).

    Tags

    Media release, Roles, Auditors, Accredited bodies, Business, News & Insights

    Type

    Page