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Found 1104 results. Displaying page 11 of 74

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.
26 June 2023

CoFI Intermediated Distribution guidance note

CoFI guidance note: Intermediated distribution. This guidance note is for financial institutions. It gives guidance on the FMA’s expectations when financial institutions distribute products and services through intermediaries.
26 June 2023

CoFI intermediated distribution consultation themes

Summary of key themes. An overview of feedback received as part of consultation on the proposed CoFI guidance note on intermediated distribution.
23 June 2023

Consultation paper proposed guidance for keeping proper CRD records

Consultation paper proposed guidance for keeping proper Climiate Related Dislcosures records.
23 June 2023

Climate Reporting Disclosures and the use of third party providers

Guidance document - climate related disclosure and the use of third party providers
23 June 2023

Proposed guidance and expectations for keeping proper climate-related disclosure records

This PROPOSED guidance note is for entities that have climate-related disclosure obligations under Part 7A of the Financial Markets Conduct Act 2013. It is intended to help climate reporting entities (CREs) to meet their statutory requirement to keep proper climate-related disclosure records at all times.
23 June 2023

Submission form Proposed guidance for keeping proper CRD records

Submission form for response to the Consultation - Proposed guidance for keeping proper CRD records
20 June 2023

Consultation paper Proposed exemptions for CREs in liquidation receivership or voluntary administration

Consultation paper to provide a class exemption to provide relief from climate reporting duties for CREs that are in liquidation, receivership, or voluntary administration.
20 June 2023

Submission form Proposed exemptions for CREs in liquidation receivership or voluntary administration

Submission form for consultation responses - proposed exemptions for CREs in liquidation, receivership, or voluntary administration.
20 June 2023

Services

This section of the FMA website provides licensing, supervision and guidance information for all market participants who are licenced and monitored by the FMA.
20 June 2023

Focus areas

The FMA uses a range of tools to support the functioning of financial markets and services, and compliance with legislation. This section contains information about conduct regulation, ethical finance, climate related disclosures, innovation in financial markets, AML/CFT and consultations.
15 June 2023

ICE Futures Europe general obligations review 2023

The 2023 ICE Futures Europe general obligations review focuses on whether the FCA was satisfied with IFEU’s compliance during the review period.
15 June 2023

ICE Futures US general obligations review 2023

The 2023 ICE Futures US general obligations review review focuses on whether the CFTC was satisfied with IFUS’s compliance during the review period.
8 June 2023

Exemption Notice - Financial Market Conduct Christchurch City Holdings limited Subsidiary Balance Date Alignment

Financial Market Conduct (Christchurch City Holdings Limited Subsidiary Balance Date Alignment) Exemption Notice 2023.
31 May 2023

Consultation paper Renewal of class exemption for same class offers ASX NZX quoted financial products

Consultation paper for Renewal of class exemption for same class offers ASX/NZX-quoted financial products.