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Found 1753 results. Displaying page 64 of 117

1. 4 April 2019

   Financial Markets Conduct - NZX Listing Rules Approval of Rule Change Notice

   This notice allows NZX to replace the NZX Issuer Rules, dated 1 January 2016, with the corresponding amended rules with effect from 1 January 2020 or as otherwise determined by NZX in accordance with the Participant Rule 1.4.1

2. 3 April 2019

   Exemption Notice - Financial Markets Conduct Harbour Investment Funds

   Financial Markets Conduct (Harbour Investment Funds) Exemption Notice 2019

3. 1 April 2019

   AML/CFT Annual Monitoring Report 2018

   This report summarises our monitoring activities from 1 July 2016 to 30 June 2018, to help reporting entities better understand our expectations, and what they can do to improve their systems and processes to comply with the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 and its supporting regulations.

4. 31 March 2019

   31 March 2019 Disclose Register KiwiSaver fund updates

   This document is the Disclose Register for KiwiSaver fund updates for 31 March 2019

5. 31 March 2019

   31 March 2019 Disclose Register MIS fund updates

   This document is the Disclose Register for MIS fund updates for 31 March 2019

6. 28 March 2019

   Richard Owen Dey - Notice of decision NZICA

   Notice by the NZ Institute of Chartered Accountants and notice of decision and order of the professional conduct committee on 4 February2019 in respect of Richard Owen Dey.

7. 27 March 2019

   Michael Derek Wood - notice of decision NZICA

   New Zealand Insitute of Chartered Accountants notice of decision and order of the professional conduct committee with regards to Michael Derek Wood in March 2019.

8. 22 March 2019

   Complaints against AFAs and RFAs - OIA response

   OIA, dated 22/03/2019, regarding complaints made to the FMA about Authorised Financial Advisers and Registered Financial Advisers over the last five years

9. 22 March 2019

   Spending on advertising - OIA response

   OIA Request regarding spending on advertising

10. 14 March 2019

    Bublitz First Trial costs - OIA response

    OIA response, dated 14 March 2019, regarding the cost breakdown of the Bublitz First Trial

11. 5 March 2019

    ANZ Bank New Zealand Limited - Appeal Judgment

    Judgment of the Court of Appeal in the case against ANZ Bank New Zealand Limited, 5 March 2019.

12. 28 February 2019

    ASX 24 Obligations Review 2018

    The FMA is required to report at least once every two years on how well ASX 24 is meeting its licensed market operator obligations.The ASX 24 Obigations Review 2018 covers the period 1 July 2016 to 30 June 2018.

13. 27 February 2019

    Using behavioural insights to improve KiwiSaver outcomes

    The New Zealand Government has a high-level policy intent to encourage long-term savings in order to increase wellbeing and financial independence. To contribute toward this we are running a series of trials to test whether insights from behavioural economics can improve decision-making and outcomes for KiwiSaver members. This report provides results from our second trial with ANZ.

14. 27 February 2019

    onathan Branton-Casey - Enforceable Undertaking

    On 27 February 2019, Jonathan Branton-Casey offered, and the FMA accepted, the attached Enforceable Undertaking pursuant to section 46 of the Financial Markets Authority Act 2011.

15. 21 February 2019

    Viaduct Capital & Mutual Finance - Judgment

    High Court verdicts and reasons in the case against Paul Bublitz, Bruce McKay and Richard Blackwood, 21 February 2019.