Search results

Found 3775 results. Displaying page 135 of 252

1. 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.
   

   Tags

   Discretionary investment management scheme (DIMS), Roles, Business

   Type

   PDF, Information Sheet

2. 30 November 2014

   Audit Quality Monitoring report 2014

   The Audit Quality Review Report 1 July 2013-30 June 2014 provides an overview of the outcomes of the audit quality review activities of the Financial Markets Authority (FMA)

   Tags

   Reports and Papers, Auditors, Roles, Business, News & Insights

   Type

   PDF

3. 30 September 2013

   Monitoring of non-GAAP disclosures response to guidance note

   In this review we assessed the market’s response to the guidance note to gain an early indication of whether disclosures around non-GAAP (generally accepted accounting principles) financial information are improving.

   Tags

   Reporting entities, Business

   Type

   PDF, Guidance

4. 13 April 2021

   KiwiSaver performance fees guidance note

   This guidance note updated in 2021 is intended for the managers and supervisors of KiwiSaver schemes. It sets out the criteria against which the Financial Markets Authority (FMA) will assess the reasonableness of performance fees.

   Tags

   KiwiSaver providers, Roles, Business, Managed investment schemes, Supervisor

   Type

   PDF, Guidance

5. 1 February 2013

   FMA's Compliance Focus for 2013

   This document outlines the Financial Markets Authority’s (FMA’s) priority areas for monitoring and surveillance in
   2013. It provides an opportunity for participants to assess their activities and take steps to improve behaviours and
   compliance controls in these areas.

   Tags

   Compliance, Reports and Papers, Business, FMA, News & Insights

   Type

   PDF

6. 23 July 2019

   Strategic Risk Outlook 2019

   The Strategic Risk Outlook 2019 provides our medium-term
   view (three to five years) of the most significant risks to and
   opportunities for promoting fair, efficient and transparent financial markets.

   Tags

   FMA

   Type

   PDF, Corporate publications, Strategic Risk outlook

7. 2 October 2017

   Strategic Risk Outlook 2017

   Our Strategic Risk Outlook provides our medium-term view (three to five years) of the most significant risks to and opportunities for promoting fair, efficient and transparent financial markets.

   Tags

   FMA

   Type

   PDF

8. 1 June 2013

   AML/CFT annual monitoring report 2013

   This document outlines the Financial Markets Authority’s (FMA’s) priorities for monitoring reporting entities under the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (AML/CFT Act).

   Tags

   AML/CFT, Reports and Papers, Roles, Reporting entities, Business, News & Insights

   Type

   PDF

9. 27 February 2019

   onathan Branton-Casey - Enforceable Undertaking

   On 27 February 2019, Jonathan Branton-Casey offered, and the FMA accepted, the attached Enforceable Undertaking pursuant to section 46 of the Financial Markets Authority Act 2011.

   Tags

   Enforceable Undertaking, Enforcement

   Type

   PDF

10. 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.

    Tags

    Judgment, Enforcement

    Type

    PDF

11. 13 December 2021

    Squirrel P2P Trustee Limited - Public Warning

    Public warning issued under Section 9 of the Financial Markets Authority Act 2011 regarding Squirrel P2P Trustee Limited, FSP 415167. 13 December 2021.

    Tags

    Enforcement

    Type

    PDF

12. 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.

    Tags

    Designations, FMC Act, Exemptions, Legislation, Business

    Type

    PDF

13. 2 August 2023

    Class legislative notices summary 2023

    This is a summary of the Financial Markets Conduct Act class legislative notices we have granted
    (and are in force) as at 1 June 2023. It includes exemptions, designations, frameworks or
    methodologies, and public accountability notices.
    

    Tags

    FMC Act, Legislation, Business

    Type

    PDF, Notice

14. 8 December 2023

    McEwen and Associates Permanent Stop Order

    The Financial Markets Authority (FMA) – Te Mana Tātai Hokohoko – has made a permanent stop order against David Elgar McEwen and entities associated with him (McEwen and Associates).

    Tags

    Enforceable action, Enforcement

    Type

    PDF

15. 30 January 2024

    Exemption Notice BGC revocation notice

    This notice, which comes into force on the day after the date of its notification in the Gazette, revokes the Financial Markets Conduct (BGC Partners (Australia) Pty Limited) Exemption Notice 2022.

    Tags

    Type

    PDF