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Found 1778 results. Displaying page 56 of 119

1. 18 November 2020

   Consumer Insights on Scams and Fraud research report 2020

   The main objectives of the research report commissioned by the FMA were to Measure the level of confidence the New Zealand public have in the New Zealand financial markets; Measure perceptions and awareness of the FMA; Explore how investors and have responded to market volatility following the COVID-19 pandemic; Capture New Zealanders’ experience of investment scams.

2. 18 November 2020

   Proposed guidance on advertising offers feedback form

3. 17 November 2020

   Exemption Notice - Fonterra Co operative Group Limited 2020

   Financial Markets Conduct Exemption Notice 2020: Insider Trading - Fonterra Co-operative Group Limited

4. 12 November 2020

   Audit Quality Director's Guide 2020

   The Audit Quality Directors Guide 2020 handbook is aimed at directors of FMCreporting entities. It sets out how you, as a director, can contribute to the quality of your audit, as well as what you can expect from the FMA and your auditor.

5. 12 November 2020

   Cases Investigated - OIA request

   OIA response, dated 12 November 2020, questions asked around the policies, documents, communications and number of cases / prosecutions the FMA has assessed between 1 July 2017 - 12 November 2020

6. 5 November 2020

   FAP standard conditions full licence RIS

   This Regulatory Impact Statement (RIS) discusses standard conditions for financial advice provider (FAP) licences, to be imposed by the FMA.

7. 3 November 2020

   Exemption Notice - Sharesies Limited

   Financial Markets Conduct Exemption Notice 2020: Sharesies Limited.

8. 30 October 2020

   Financial Markets Conduct (NZX Rules) Approval of Rule Change Notice 2020 –2020

   Financial Markets Conduct (NZX Rules) Approval of Rule Change Notice 2020 which aplies to Derivative Market Rules; NZX Participant Rules; Fonterra Share Market Listing Rules and NZ Markets Disciplinary Tribunal Rules.

9. 30 October 2020

   Consultation KiwiSaver Fees and Value for Money

   This consultation seeks input from KiwiSaver managers, KiwiSaver supervisors, other MIS managers, and other interested parties, on the regulatory approach to the statutory requirement that KiwiSaver fees must not be unreasonable and the related overarching statutory duties.

10. 30 October 2020

    KiwiSaver fees and value for money feedback form

    Consultation feedback form: KiwiSaver fees and value for money

11. 24 October 2020

    Pegasus Market Limited - sentencing notes

    Sentencing notes in the case against Pegasus Market Limited, 23 December 2020.

12. 22 October 2020

    Consultation paper Recognition of Australian Adviser Qualifications

    Consultation: This guidance note is for any person who gives regulated financial advice, and their advisers and interested parties. It seeks feedback on proposed recognition of certain Australian adviser qualifications.

13. 15 October 2020

    AML warnings - OIA request

    OIA response, dated 15 October 2020, looking at the total number of non-public formal warnings issued until June 2020 and he calendar or reporting years in which these were issued

14. 5 October 2020

    Mary Holm’s introductory guide to investing

    Hits and Myths is an introductory guide to investing written by Mary Holm for the FMA. In this booklet she sets the record straight on eight common myths about investing. It’s a quick guide for anyone who’s thinking about or already dabbling in investing – and wants to know more.

15. 1 October 2020

    COVID-19: Timetable of deferred Regulatory initiatives

    The table provides a list of the regulatory initiatives that are being deferred during the Covid-19 Alert Levels in August and September 2021. These deferrals will enable banks and other financial services firms to focus their efforts more effectively on continuing to operate smoothly and providing credit and other support to individuals and businesses.