Search results

Keywords

Date Published

Sort by:

Found 1755 results. Displaying page 73 of 117

1 May 2018

AML/CFT Risk Assessment Guideline

This guideline is designed to help you conduct your money laundering and terrorism financing risk assessment (risk assessment) under the Anti-Money Laundering and Countering Financing of Terrorism (AML/CFT) Act 2009 (the Act).
1 May 2018

Investor Confidence Report 2018

The FMA commissioned Buzz Channel to measure New Zealanders’ attitudes towards and confidence in New Zealand’s financial markets. This is the 2019 survey report.
30 April 2018

NZX Main Board/Debt Market and NZAX Listing Rules - Approval of Markets Rules Notice

NZX main board/debt market and NZAX listing rules notice.
20 April 2018

Sansom trial costs - OIA response

OIA response, dated 20 April 2018, with regards to the Sansom trial costs
18 April 2018

General stocktake of fund updates

A general stocktake (or review) of fund updates to discover if there were any common themes or issues.
17 April 2018

Consultation paper Proposed exemption to enable dual language PDS

This consultation paper is for issuers of financial products and seeks feedback on the exemption proposal to enable issuers to provide dual-language PDSs.
17 April 2018

Proposed exemption Enable dual language PDS feedback form

Feedback form: proposed exemption to enable dual language PDS
16 April 2018

Consultation paper annual declaration and change to standard condition

This consultation is for all market service licensees and seeks to gain feedback on our proposals for an annual declaration of compliance from licensees as part of regulatory returns, and changes to the standard regulatory returns condition.
10 April 2018

Product disclosure statements: understanding investors’ information needs

The purpose of this report is to help issuers and their advisers think about how they can make disclosure information more useful for investors. In the report we summarise feedback from investors about how they use disclosure information.
5 April 2018

Exemption Notice - Financial Markets Conduct Mercer Super Trust

Financial Markets Conduct (Mercer Super Trust) Exemption Notice 2018
31 March 2018

31 March 2018 Disclose Register KiwiSaver fund updates

This document is the Disclose Register for KiwiSaver fund updates for 31 March 2018
31 March 2018

31 March 2018 Disclose Register MIS fund updates

This document is the Disclose Register for MIS fund updates for 31 March 2018
22 March 2018

Update on the FMA’s ongoing review of insurance replacement business and conflicted conduct

This report follows on from our 2016 report, Replacing life insurance – who benefits? into replacement business activity within the adviser sales channel of the New Zealand life insurance market. It details our findings, the results of our inquiries to date and our expectations for advisers when they are providing advice on replacing insurance policies.
21 March 2018

Exemption Notice - Moorhouse Central Proportionate Ownership Scheme

Financial Markets Conduct (Moorhouse Central Proportionate Ownership Scheme) Exemption Notice 2018
15 March 2018

Fair dealing in advertising and communications – crowdfunding and peer-to-peer lending guidance

The aim of this guidance is to ensure licensed crowdfunding and peer-to-peer lending platforms understand their obligations when advertising or communicating with customers.