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  2. 3 February 2014

    Guidance Note: Broker Obligations

    This guidance is aimed at improving compliance with broker conduct obligations and trust accounting obligations in Part 3A of the Act, by setting out how FMA interprets and applies certain parts of Part 3A. The focus of this guidance is on custody of client money and client property, and the key obligation of brokers to hold client money and client property on trust.
    Tags
    Type
    Page, Guidance

  3. 1 February 2014

    New Zealand Capital Finance

    New Zealand Capital Finance website: www.fspfinancial.co.nz/ made False/misleading advertising. ASSOCIATED PERSON: Joaquim Almeida
    Tags
    Suspected scam, Scams
    Type
    Page

  4. 1 February 2014

    Broker Obligations guidance note

    The focus of this guidance is on custody of client money and client property, and the key obligation of brokers to hold client money and client property on trust.
    Tags
    Obligations, Client money or property services provider, Roles, Business
    Type
    PDF, Guidance

  5. 1 February 2014

    Investor experience of IPOs - research report

    This document explores attitudes towards investing in New Zealand’s financial markets, understand the experience of investing in New Zealand’s financial markets, understand the
    impact of offer documentation on investment decisions, and additionally, this research aims to provide profiling information on New Zealand investors. February 2014
    Tags
    Reports and Papers, Business, News & Insights
    Type
    PDF, Research

  6. 1 February 2014

    Broker obligations

    Broker obligations guidance note is based on the law as at January 2014, and is for brokers (as defined in the Financial Advisers Act 2008 (Act)). The focus of this guidance is on custody of client money and client property, and the key obligation of brokers to hold client money and client property on trust.
    Tags
    Type
    Page, Guidance

  12. 30 January 2014

    Expense disclosure CE gifts 2013 Jul Dec

    CE gifts and hospitality disclosure for the period 1 July 2013 - 31 December 2013
    Tags
    Chief Executive Gifts and Benefits Disclosure, FMA
    Type
    PDF

  14. 28 January 2014

    2014 Letter of Expectations

    The letter of expectation 2014 is delivered by the Minister to the FMA to formalise expectation of the FMA as a Crown entity.
    Tags
    Annual letter of expectations from the Minister, FMA
    Type
    PDF

  15. 24 January 2014

    Lombard - Settlement Agreement

    News release issued by PWC, 24 January 2014 about settlement agreement with the Directors of Lombard and their insurers.
    Tags
    Settlement, Enforcement
    Type
    PDF