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  1. 2 February 2017

    FMAs view of conduct guidance

    This guidance note is for: directors and executives of licensed
    financial services providers. The guide was published in 2017.
    Tags
    Financial Advice Provider, Conduct, Roles, Business
    Type
    PDF

  2. 2 February 2017

    A guide to the FMA's view of conduct

    A guide to FMA's view of conduct guide describes why good conduct matters and how high standards of conduct support fair, efficient and transparent markets. This handbook is intended as a reference for directors, executives and advisers to decide how best to apply the principles for corporate governance to their particular entity.
    Tags
    Derivative Issuer, Conduct, Independent trustee, Financial Advice Provider, Offer disclosure for equity and debt offers, Discretionary investment management scheme (DIMS), Cryptocurrencies, Crowdfunding providers, Authorised body under a FAP, Auditors, Roles, Financial Adviser, Directors, Client money or property services provider, Business, Interposed persons under new financial advice regime, Managed investment schemes, Market operator, Peer-to-peer lending service providers, Supervisor, Nominated representatives
    Type
    Page, Guidance

  5. 16 January 2017

    Consultation paper: Requirement for managers of multiple participant schemes to register participation agreements

    Consultation paper: Requirement for managers of multiple participant schemes to register participation agreements. The proposal is to exempt these managers from the requirement to register participation agreements entered into with the various employers they service which form part of the scheme’s governing document.
    Tags
    Managed investment schemes, Supervisor, Consultations, Roles, Business
    Type
    Page

  11. 22 December 2016

    How the FMC Act will affect co-operative companies and industrial and provident societies that have issued, or intend to issue, co-operative shares

    How the FMC Act will affect co-operative companies and industrial and provident societies that have issued, or intend to issue, co-operative shares information sheet outlines the options for co-operative companies and industrial and provident societies (IPSs) (collectively referred to as co-operatives) offering and managing co-operative shares.
    Tags
    Client money or property services provider, Independent trustee, Roles, Business
    Type
    Page, Guidance

  14. 13 December 2016

    ASX 24 review 2016

    Australian Securities Exchange Limited (ASX 24) is licensed to operate the ASX 24 derivatives market (derivatives
    market) in New Zealand. We are required to report at least once every two years on how well ASX 24 is meeting its licensed market operator obligations. This review period covers 1 July 2014 to 30 June 2016. This is our first review of ASX 24 since its licence came into effect on 1 December 2014.
    Tags
    Reports and Papers, Roles, Business, Market operator, News & Insights
    Type
    PDF

  15. 12 December 2016

    FMA legislative notices supporting the FMC Act regime up to 9 December 2016

    30 November 2016 marked the end of the transitional period the industry was required to move to operating under the FMC Act 2013 regime. Since 1 December 2016, businesses could no longer operate under the Securities Act or Securities Markets Act.
    Tags
    Regulation updates, Business
    Type
    Page