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Found 6610 results. Displaying page 128 of 441

1. 30 September 2022

   AIA New Zealand Ltd - Judgment

   23 September 2022 The Auckland High Court ordered life insurer AIA to pay a pecuniary penalty of $700,000 for making false and/or misleading representations to some customers.

   Tags

   Judgment, Enforcement

   Type

   PDF

2. 30 September 2022

   AIA

   The Auckland High Court has ordered life insurer AIA to pay a pecuniary penalty of $700,000 for making false and/or misleading representations to some customers.

   Tags

   Court – civil, Powers, Enforcement

   Type

   Page

3. 29 September 2022

   Expired exemptions

   Find a full list of expired exemptions that relate to the Financial markets Conduct and Securities Act here.

   Tags

   Exemptions, Secondary legislation, Business

   Type

   Page

4. 29 September 2022

   Isbister Financial Services Limited

   Isbister Financial Services Limited FSP514807 is an AML reporting entity.

   Tags

   Reporting entities, AML/CFT, Roles, Business

   Type

   Page

5. 29 September 2022

   Catalist market operator obligations review 2022

   This report covers the first market obligations review for Catalist, and covers the period from 21 June 2021, the licence commencement date, to 31 March 2022, the end of Catalist’s first reporting period.

   Tags

   Market operator, Reports and Papers, Roles, Business, News & Insights

   Type

   PDF

6. 29 September 2022

   FMA inaugural review of ‘stepping-stone’ market Catalist released

   FMA released annual review of how well Catalist is meeting its licensed market operator obligations.

   Tags

   Media release, Roles, Business, Market operator, News & Insights

   Type

   Page

7. 29 September 2022

   FMA Investor checklist

   World Investor Week investing plan checklist.

   Tags

   Consumer

   Type

   PDF

8. 28 September 2022

   Financial Markets Conduct (Disclosure Using Overseas GAAP) Exemption Notice 2022

   This exemption provides relief for overseas issuers that have a primary listing on a market in a high quality jurisdiction from certain disclosure requirements in the FMC Act.

   Tags

   Exemptions, Business

   Type

   Page, Financial Markets Conduct Act exemptions, Current, Exemption notice

9. 28 September 2022

   Financial Markets Conduct (Financial Statements for Schemes Consisting Only of Separate Funds) Exemption Notice 2022

   This exemption relieves managers of “notional” managed investment schemes from completing scheme financial statements.

   Tags

   Exemptions, Legislation, Managed investment schemes, Supervisor, Roles, Business

   Type

   Page

10. 28 September 2022

    MBIE releases consultations on regulations and fees for Conduct of Financial Institutions regime

    The Ministry of Business, Innovation and Employment (MBIE) has released two consultations on incentives regulations and proposed licensing fees to support the Conduct of Financial Institutions (CoFI) regime.

    Tags

    Banking, Media release, Insurance Providers, Conduct of Financial Institutions Bill (CoFI), Business, News & Insights

    Type

    Page

11. 27 September 2022

    Securities Industry Association submission

    Consultation submission from Securities Industry Association, 1 Aug 2013: Practical implications of factsheet on Managing Intermediaries feedback

    Tags

    Consultations, Business

    Type

    PDF, Submission form

12. 27 September 2022

    Consultation paper Client money or property service provider guidance

    Consultation on proposed guidance on the obligations for client money or property service providers.

    Tags

    Client money or property services provider, Consultations, Roles, Business

    Type

    PDF

13. 27 September 2022

    Feedback form Client money and property service guidance

    Feedback form for consultation client money and property services guidance.

    Tags

    Client money or property services provider, Consultations, Roles, Business

    Type

    Word document, Feedback form

14. 27 September 2022

    Consultation: Proposed guidance for client money or property service providers

    Consultation on proposed guidance on the obligations for client money or property service providers.

    Tags

    Client money or property services provider, Consultations, Roles, Business

    Type

    Page, Open, Consultation

15. 23 September 2022

    Imposter website: farm-crypto.com

    Farm-crypto.com is not a registered Financial Service Provider in New Zealand and is falsely purporting to be associated with New Zealand entity, Pearlfisher Capital Limited.

    Tags

    Imposter website, Scams

    Type

    Page