Search results

Found 1820 results. Displaying page 53 of 122

1. 30 June 2021

   Filing of financial statements: review findings and guidance

   This document provides a summary of the key findings and insights from our monitoring review of financial reporting filing obligations. It also provides guidance and sets our expectations for future reporting periods.

2. 30 June 2021

   Exemption Notice - Financial Markets Conduct (Foodstuffs Provident Fund)

   Financial Markets Conduct (Foodstuffs Provident Fund) Exemption Notice 2021

3. 30 June 2021

   Exemption notice - Financial Markets Conduct (FNZ Group) 2021

   Financial Markets Conduct (FNZ Group) Exemption Notice 2021

4. 29 June 2021

   ICE Futures Europe general obligations review 2021

   The UK Financial Conduct Authority (FCA) is IFEU’s primary regulator. Our review therefore focuses on whether the FCA was satisfied with IFEU’s compliance during the review period. 2021 ICE Futures Europe general obligations review

5. 29 June 2021

   ICE Futures US general obligations review 2021

   The US Commodity Futures Trading Commission (CFTC) is IFUS’s primary regulator. Our review therefore focuses on whether the CFTC was satisfied with IFUS’s compliance during the review period. 2019-2020 ICE Futures US general obligations review.

6. 28 June 2021

   NZX Market Operator Obligations Review 2021

   Findings from the FMA's review of how well NZX is meeting its licensed market operator obligations, for the period 1 January to 31 December 2020

7. 24 June 2021

   Statement of Performance Expectations 2021 to 2022

   Our Statement of Performance Expectations outlines our short-term (annual) performance targets. It should be read in conjunction with our Statement of Intent. This is the 2021 to 2022 report.

8. 24 June 2021

   How to operate

   Getting prepared for licensing covers: who will need a licence under the new financial advice regime; the different ways to operate under the new regime, and provides an easy-to-navigate tool that will help guide you through the options if you're unsure how you wish to operate. See more.

9. 24 June 2021

   Investor capability and consumer insights

   Capable, confident and well-informed investors are an essential part of healthy financial markets. Part of the FMA's role is to help investors build this capability and to seek insights from both investors and consumers of other financial services. This page explains the objective of the FMA in building customer capability and how we approach our work in building a safe and transparent financial market.

10. 22 June 2021

    MIS liquidity risk management review

    This report contains recommendations on liquidity stress testing frameworks, processes and procedures, following the August 2020 self-assessment survey completed by regulated entities for a two-year period ending 31 December 2019. It will be useful for directors, senior management and investment personnel of managed investment schemes.

11. 21 June 2021

    Financial Markets Conduct (Catalist Public Market) Approval of Market Rules Notice 2021

    Financial Markets Conduct (Catalist Public Market) Approval of Market Rules Notice 2021

12. 21 June 2021

    New Zealand Financial Product Market Licence Catalist Public Market 2021

    New Zealand Financial Product Market Licence Catalist Public Market 2021

13. 16 June 2021

    Financial advice lender exclusion updated 2021

    This information sheet explains the circumstances that may exclude a lender from some Financial Markets Conduct Act 2013 (FMC Act) obligations related to financial advice. The exclusion applies only in relation to consumer credit contracts and certain credit-related insurance contracts. Updated documented published 16/06/21

14. 16 June 2021

    KiwiSaver switching behaviour 150621

    The aim of this research was to identify how any switches and other transactions took place between Febuary and April 2020 at the height of the market volatility associated with COVID-19

15. 16 June 2021

    Licensing interposed persons and engaged entity arrangements information sheet

    This information sheet sets out FMA’s approach to licensing financial advice arrangements and provides guidance on circumstances where an engaged entity or interposed person won’t need to be licensed as a FAP.