Search results

Keywords

Date Published

Sort by:

Found 290 results. Displaying page 15 of 20

10 December 2014

Banking Ombudsman Scheme Limited - MOU

MOU concerning consultation, cooperation and the exchange of information between the FMA and the Banking Ombudsman Scheme Limited
1 December 2014

Corporate Governance in New Zealand - Principles and Guidelines

This handbook is intended as a reference for directors, executives and advisers to decide how best to apply the principles to their particular entity.
1 September 2014

Governance under Part 4 of the FMC Act guidance

This guidance note is for Issuers of debt securities, managers of investment schemes and their supervisors. It gives guidance on the expectations of the FMA on your approach to governance and accountability responsibilities that apply to Part 4 of the FMC Act 2015.
30 July 2014

Expense disclosure CE gifts 2014 jan feb

CE gift and hospitality disclosure for the period 1 January 2014 - 30 June 2014
30 July 2014

Expense disclosure CE gifts 2014 jan jun

CE gifts and benefits disclosure for the period 1 January 2014 - 30 June 2014
30 July 2014

Expense disclosure CE expenses travel 2014 jan jun

CE expenses disclosure for the period 1 January 2014 - 30 June 2014
30 July 2014

Expense disclosure CE expenses other 2014 jan jun

CE expenses disclosure for the period 1 January 2014 - 30 June 2014
30 July 2014

Expense disclosure CE hospitality 2014 jan jun

CE expenses disclosure for the period 1 January 2014 - 30 June 2014
1 July 2014

Financial Dispute Resolution Scheme - MOU

MOU concerning consultation, cooperation and the exchange of information between the FMA and Fairway Resolution Limited trading as Financial Dispute Resolution Scheme
1 July 2014

Serious Fraud Office (SFO) - MOU

MOU concerning consultation, cooperation and the exchange of information between the FMA and the Serious Fraud Office
30 May 2014

new governance and accountability framework for mis managers and their licensed supervisors 2014

The FMC Act introduces an accountability framework for managed investment schemes (MIS). The requirements include a statutory duty of care on both managers and supervisors of managed investment schemes. Both must also act in the best interests of investors. Managers and supervisors need to have a clear understanding of their respective roles and understand they will be held to account for their actions.
1 May 2014

Governance and accountability framework for restricted schemes and their trustees information sheet

The Financial Markets Conduct (FMC) Act 2013 changes the governance and accountability framework for financial products. Find out what these changes mean for restricted schemes and their trustees.
1 May 2014

Governance and accountability framework for debt issuers and their licensed supervisors

The Financial Markets Conduct Act 2013 changes the governance and accountability framework for financial products. Find out what these changes mean for debt issuers and their licensed supervisors.
1 April 2014

FMA’s new role as regulator of conduct

From 1 April 2014 FMA replaces the Commerce Commission as the primary regulator of conduct in relation to financial products and services. Find out what this means.
31 March 2014

Commerce Commission - MOU

MOU concerning consultation, cooperation and the exchange of information between the FMA and the Commerce Commission