Search results

Found 612 results. Displaying page 31 of 41

1. 7 June 2017

   KiwiSaver annual statements methodology notice

   This notice comes into force on 2017 and applies to accounting periods of KiwiSaver schemes that commence on or after the commencement date of this notice. The notice sets out a methodology which managers of KiwiSaver schemes must comply with when calculating the approximate total sum of the fees paid by each of their scheme participants. This information (which must be expressed as a dollar amount) must be included in the confirmation information that KiwiSaver providers are required to provide to each scheme participant each year pursuant to the Financial Markets Conduct Act 2013 (Act).

2. 22 May 2017

   Consultation Proposed exemption from obligation to prepare scheme financial statements for bundled unit trusts

   This consultation is for: managers, supervisors, auditors, administration managers, investors. It aims to: seek feedback on the exemption proposal for bundled unit trusts.

3. 4 May 2017

   Consultation proposed guidance Substantial product holder disclosures

   This consultation is for: Fund management firms and their employees; anyone who has, or may have, a substantial holding in a listed issuer, and other interested parties.

4. 11 April 2017

   Consultation paper Improving financial information in an equity PDS

   This consultation is for issuers, their advisors, investors and other interested parties. It aims to seek feedback on our proposed guidance and interpretations of the regulations.

5. 3 April 2017

   Consultation paper Short duration derivatives

   This consultation is for: interested parties including offerors, investors and legal advisers. It aims to: gain feedback on the impact of a class designation for short duration derivatives.

6. 9 March 2017

   Submissions Report KiwiSaver guidance note

   This submissions report is in response to submissions on the draft KiwiSaver advice guidance note consultation, 2017.

7. 6 March 2017

   Consultation paper Disclosing non GAAP financial information

   This guidance note is primarily for FMC reporting entities and their directors. It aims to outline the FMA's expectations on the use of non-GAAP financial information.

8. 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.

9. 16 January 2017

   Consultation paper Requirement for managers of multiple participant schemes to register participation agreements 1

   The consultation seeks feedback on our proposal to exempt managers of multiple participant schemes from the requirement to register participation agreements entered into with the various employers they service.

10. 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.

11. 12 December 2016

    CPA accredited body report 2016

    The Auditor Regulation Act 2011 (the Act) requires us to monitor and ensure the audit regulatory systems and processes used by accredited bodies are adequate and effective. This report contains the findings of our monitoring assessment of CPA Australia for the period 1 July 2015 to 30 June 2016.

12. 12 December 2016

    NZICA accredited body report 2016

    The Auditor Regulation Act 2011 (the Act) requires us to monitor and ensure the audit regulatory systems and processes used by accredited bodies are adequate and effective. This report contains the findings of our monitoring assessment of the New Zealand Institute of Chartered Accountants (NZICA) for the period 1 July 2015 to 30 June 2016.

13. 8 December 2016

    AML/CFT Monitoring Report 2016

    This report summarises our monitoring activities to help firms and individuals better understand our expectations and how they can improve their systems and processes, to comply with the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (the Act). This report covers the period from 1 July 2015 to 30 June 2016. It was our third year of monitoring compliance with the Act.

14. 30 November 2016

    Portfolio Superannuation Fund Levy Waiver

    On 23 November 2016 the FMA granted a waiver of part of the FMA levy to Portfolio Superannuation Fund in respect of its Personal Plans funds. The Scheme is comprised of the Personal Plans, with Saturn Invest New Zealand Limited (Saturn) acting as the manager of the Scheme.

15. 22 November 2016

    Response to submissions on regulatory returns for prescribed intermediary services

    In October 2016 we consulted on the information we will request from crowdfunding and peer-to-peer lending licensees through annual regulatory returns. This document details our response to submissions.