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Found 1870 results. Displaying page 111 of 125

  1. 5 November 2018

    Bank Conduct and Culture Review

    The Bank Conduct and Culture Review is a report that documents the findings from an FMA and RBNZ review of the conduct and culture in New Zealand retail banks.
    Tags
    Directors, Conduct, Roles, Banking, Reports and Papers, Business
    Type
    Page, Report

  2. 27 February 2015

    Issuers registers of regulated products and the FMA's discretion under section 224

    Issuers registers of regulated products and the FMA's discretion under section 224 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).
    Tags
    Offer disclosure for equity and debt offers, Roles, Business
    Type
    Page, Guidance

  3. 27 September 2017

    Guidance on substantial product holder disclosures

    Guidance on substantial product holder disclosures is for anyone who has, or may have, a substantial holding in a listed issuer, fund management firms and their employees and other interested parties. It aims to assist substantial product holders in understanding their obligations and help to promote consistency in disclosures.
    Tags
    Offer information, Roles, Offer disclosure for equity and debt offers, Business
    Type
    Page, Guidance, Financial reporting

  4. 18 April 2018

    General stocktake of fund updates

    General stocktake of fund updates lets investors know important information about their managed fund, such as how it is performing, what it is costing them, and what their fund is investing in. By law, they must follow a standard format designed to make it easy to compare funds and be understood by non-expert investors.
    Tags
    Roles, Business, Managed investment schemes, Supervisor
    Type
    Page, Guidance

  11. 23 January 2015

    Notification of Warning: individual trader – market manipulation

    The Financial Markets Authority has issued a warning to an individual in relation to suspected market manipulation. Following an investigation by the FMA, it concluded that trading by the individual in question has likely breached the Securities Markets Act 1988. Read more.
    Tags
    Enforcement
    Type
    Page

  13. 28 January 2015

    FMA and NZX sign Memorandum of Understanding

    FMA and NZX have signed a Memorandum of Understanding. The MoU sets out the framework for engagement and co-operation between the FMA and NZX, taking into account their complementary regulatory responsibilities for New Zealand’s capital markets.
    Tags
    Governance, Media release, FMA, News & Insights
    Type
    Page

  15. 8 July 2011

    Share Buyers Limited (Share Buyers)

    We make the following order against Share Buyers and Share Buyers Associates.
    Tags
    Cases, Direction Order, Powers, Enforcement
    Type
    Page