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Found 1104 results. Displaying page 39 of 74

1. 25 June 2019

   Consultation transitional licensing standard conditions

   Consultation: Proposed standard conditions for financial advice provider transitional licences

2. 24 May 2019

   Exemption notice - Clearwater Golf Club Limited

   Financial Markets Conduct (Clearwater Golf Club Limited) Exemption Notice 2019

3. 20 May 2019

   Audit Quality Perceptions - research summary 2019

   The FMA commissioned Buzz Channel to conduct research to help understand how users of audit services in New Zealand perceive auditors’ contribution to fair, efficient and transparent NZ financial markets.

4. 1 May 2019

   Audit Quality Perceptions Research report 2019

   The overall aim of this research is to inform FMA of public and industry perceptions of the audit quality in NZ and enable them to target work to increase understanding of the auditor’s role, strengthen perceived value of that role, along with knowledge of the FMA’s role of oversight and regulationof auditors.

5. 1 May 2019

   Financial reporting reviews 2019

   This statement outlines our approach to financial reporting reviews, and highlights selected areas of interest for 2019/20 reviews.

6. 24 April 2019

   Exemption Notice - Financial Markets Conduct Goldman Sachs

   Financial Markets Conduct Exemption Notice 2019: Goldman Sachs.

7. 16 April 2019

   Exemption Notice - RIS Group Limited

   Financial Markets Conduct Exemption Notice 2019: RIS Group Limited.

8. 5 April 2019

   Exemption Notice - OnePath Custodians Pty Limited

   Financial Markets Conduct Exemption Notice 2019: OnePath Custodians Pty Limited.

9. 4 April 2019

   Financial Markets Conduct - NZX Listing Rules Approval of Rule Change Notice

   This notice allows NZX to replace the NZX Issuer Rules, dated 1 January 2016, with the corresponding amended rules with effect from 1 January 2020 or as otherwise determined by NZX in accordance with the Participant Rule 1.4.1

10. 3 April 2019

    Exemption Notice - Financial Markets Conduct Harbour Investment Funds

    Financial Markets Conduct (Harbour Investment Funds) Exemption Notice 2019

11. 1 April 2019

    AML/CFT Annual Monitoring Report 2018

    This report summarises our monitoring activities from 1 July 2016 to 30 June 2018, to help reporting entities better understand our expectations, and what they can do to improve their systems and processes to comply with the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 and its supporting regulations.

12. 31 March 2019

    31 March 2019 Disclose Register KiwiSaver fund updates

    This document is the Disclose Register for KiwiSaver fund updates for 31 March 2019

13. 31 March 2019

    31 March 2019 Disclose Register MIS fund updates

    This document is the Disclose Register for MIS fund updates for 31 March 2019

14. 28 March 2019

    Richard Owen Dey - Notice of decision NZICA

    Notice by the NZ Institute of Chartered Accountants and notice of decision and order of the professional conduct committee on 4 February2019 in respect of Richard Owen Dey.

15. 28 February 2019

    ASX 24 Obligations Review 2018

    The FMA is required to report at least once every two years on how well ASX 24 is meeting its licensed market operator obligations.The ASX 24 Obigations Review 2018 covers the period 1 July 2016 to 30 June 2018.