Search results

Keywords

Date Published

Sort by:

Found 1104 results. Displaying page 22 of 74

27 April 2022

Exemption Notice - Financial Markets Conduct Plus500AU Pty ltd 2022Ltd

Financial Markets Conduct (Plus500AU Pty Ltd) Exemption Notice 2022
31 March 2022

31 March 2022 Disclose Register KiwiSaver fund updates

This document is the Disclose Register for KiwiSaver fund updates for period ending 31 March 2022
31 March 2022

31 March 2022 Disclose Register MIS fund updates

Disclose Register MIS fund updates for 31 March 2022
18 March 2022

Impact of Russia Sanctions on AML/CFT reporting entities

An update from the three AML/CFT Act supervisors to reporting entities on what is required of them under the Russia Sanctions Act 2022.
15 March 2022

Exemption Notice - Financial Markets Conduct JP Morgan Chase Bank N.A.

This notice is the Financial Markets Conduct (JP Morgan Chase Bank N.A.) Exemption Notice 2022.
8 March 2022

Exemption Notice - IG Australia

The Financial Markets Conduct (IG Australia Pty Limited) Exemption Notice 2022 provides relief to IG Australia Pty Limited (IG Australia) from certain financial reporting and audit obligations in the FMC Act and from certain assurance obligations and register entry requirements in the FMC Regulations.
28 January 2022

Application Form - Supervisors Licence TRU1.1

Application Form for Financial Markets Supervisors Licence (For a New Licence or to Replace an Expiring Licence) TRU1.1
19 January 2022

KiwiSaver Switching Behaviour KiwiSaver Member Stories

The FMA commissioned PwC’s behavioural science team to examine KiwiSaver switching behaviour during the height of COVID-19 market volatility, with data provided by 11 KiwiSaver providers.
1 January 2022

NZX Participant Rules 2017

NZX participant rules 2017
26 December 2021

31 December 2021 Disclose Register MIS fund updates

Disclose MIS Manager fund updates for 31 December 2021
24 December 2021

31 December 2021 Disclose Register KiwiSaver fund update
16 December 2021

Customer care managing conflicts of interest self assessment tool
15 December 2021

Fonterra Shareholders' Market Listing Rules - Approval of Change Notice 2021

The amendments to the FSM Listing Rules are generally consequential on external factors relating to Fonterra, and include the following: FSM Listing Rule 1.8.2, Rules 1.8.2(c), 1.8.4(a) and 6.1.2(a)(ix) and (x) and the Glossary, and, FSM Listing Rule 6.1.2 are amended
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.
6 December 2021

AML/CFT Sector Risk Assessment 2021

Our Sector Risk Assessment (SRA) helps us and the Reporting Entities we supervise understand the risks of money-laundering (ML) and terrorism financing (TF) in each sector. This SRA replaces our SRA published in 2017.