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Found 6609 results. Displaying page 268 of 441

1. 18 February 2019

   Expense Disclosure CE Other July Dec 2018

   CE expense disclosure for the period 1 July 2018 - 31 December 2018.

   Tags

   Executive expenses, FMA

   Type

   PDF

2. 18 February 2019

   Bublitz Trial cost - OIA response

   OIA response, dated 18 February 2019, rearding R v Bublitz & Ors second trial costs

   Tags

   FMA

   Type

   PDF, OIA

3. 15 February 2019

   Financial Markets Conduct (NZX Participant Rules) - Approval of Rule Change Notice 2019

   This notice approves changes to the Participant Rules that were provided to the FMA by NZX for approval on 18 December 2018 with further minor amendments provided 17 January 2019.

   Tags

   Type

   PDF

4. 15 February 2019

   Gifts and Hospitality since 2013 - OIA response

   OIA response, dated 15 Feb 2019, requesting information surrounding any gifts and hospitality given to FMA staff by private organisations since 2013.

   Tags

   FMA

   Type

   PDF, OIA

5. 15 February 2019

   Financial Advisers Disciplinary Committee decisions - OIA request

   OIA respnse, dated 15 February 2019, regarding Financial Advisers Disciplinary Committee (FADC) example cases and decisions

   Tags

   FMA

   Type

   PDF, OIA

6. 5 February 2019

   OIA Reporting Enitites

   OIA response, dated 5 February 2019, regarding the number of times in 2019 that the FMA requested a reporting entity (RE) seek an audit of its risk assessment

   Tags

   FMA

   Type

   PDF, OIA

7. 5 February 2019

   Financial Advisers (Personalised Digital Advice) Exemption Amendment Notice 2019

   Expired exemption: Financial Advisers (Personalised Digital Advice) Exemption Amendment Notice 2019

   Tags

   Exemptions, Business

   Type

   Page

8. 29 January 2019

   TradeFintech

   TradeFintech scam

   Tags

   Suspected scam, Scams

   Type

   Page

9. 29 January 2019

   Life Insurer Conduct and Culture 2019

   Findings from an FMA and RBNZ review of conduct and culture in New Zealand life insurers.

   Tags

   Reports and Papers, Financial Advice Provider, Roles, Business, News & Insights

   Type

   PDF

10. 29 January 2019

    FMA and RBNZ report on life insurer conduct and culture

    The FMA and RBNZ have completed their joint review of 16 New Zealand life insurers. This review follows the regulators’ bank review published in November 2018.

    Tags

    Life insurance, Media release, Insurance, Consumer, News & Insights

    Type

    Page

11. 29 January 2019

    Life Insurer Conduct and Culture

    Findings from an FMA and RBNZ review of conduct and culture in New Zealand life insurers

    Tags

    Roles, Conduct, Insurance Providers, Reports and Papers, Financial Institutions, Business, News & Insights

    Type

    Page, Report

12. 24 January 2019

    NZX & FMA initiate industry review: Capital Markets 2029

    NZX and FMA have initiated an industry-led review of New Zealand’s capital markets. Capital Markets 2029 is designed to deliver a ten-year vision and growth agenda for the sector.

    Tags

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

    Type

    Page

13. 22 January 2019

    Ainvestments

    Ainvestments could be involved in a scam

    Tags

    Suspected scam, Scams

    Type

    Page

14. 18 January 2019

    Alliance Investment Limited

    Alliance Investment Limited are an unregistered, unregulated entity who are falsely holding out as being associated with legitimate company, Alliance Investments Limited.

    Tags

    Suspected scam, Scams

    Type

    Page

15. 16 January 2019

    SunX Global Limited

    SunX Global Limited

    Tags

    AML/CFT, Reporting entities, Roles, Business

    Type

    Page