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Found 6609 results. Displaying page 288 of 441

  1. 7 June 2018

    Auditor regulation and oversight plan 2018-2021

    FMA has an obligation to publish an auditor regulation and oversight plan by 30 June each year, for a three year period, setting out our intentions for the regulation and oversight of auditors under the Act. This plan will help licensed auditors, registered audit firms and accredited bodies to understand how FMA will approach auditor regulation. It may also be of interest to issuers, investors and their advisers.
    Tags
    Reports and Papers, Business, News & Insights
    Type
    PDF

  4. 5 June 2018

    Oracle Finance International Inc Limited

    Oracle Finance International Inc Limited are making false claims about being registered in New Zealand when they are not.
    Tags
    Unregistered business, Investor warning, Consumer, Scams
    Type
    Page

  6. 30 May 2018

    Compliance assurance programmes information sheet

    The information sheet is for entities holding or applying for a licence under the Financial Markets Conduct Act 2013, and anyone involved in the creation, implementation and ongoing operation of a compliance assurance programme.
    Tags
    FMC Act, Obligations, Legislation, Business
    Type
    PDF, Information Sheet

  7. 30 May 2018

    Financial Services Conduct and Culture Review

    RBNZ and FMA briefed the Finance and Expenditure Select committee on the Australian Royal Commission (RC) into Misconduct in Banking, Superannuation and Financial Services Industry, and the response by regulators in New Zealand.
    Tags
    Conduct, Media release, Business, News & Insights
    Type
    Page

  8. 30 May 2018

    Compliance Assurance Programmes

    The Compliance Assurance Programmes information sheet is for entities holding or applying for a licence under the Financial Markets Conduct Act 2013, and anyone involved in the creation, implementation and ongoing operation of a compliance assurance programme.
    Tags
    Crowdfunding providers, Directors, Cryptocurrencies, Roles, Legislation, Derivative Issuer, Discretionary investment management scheme (DIMS), Business, Peer-to-peer lending service providers
    Type
    Page, Guidance

  9. 29 May 2018

    Coin City Limited

    The website www.coincity.co.nz has the characteristics of a scam.
    Tags
    Suspected scam, Scams
    Type
    Page

  12. 24 May 2018

    Guangdong International Capital Limited

    Guangdong International Capital Limited is not registered financial service provider in New Zealand and does not hold a license from FMA.
    Tags
    Investor warning, Unregistered business, Consumer
    Type
    Page

  14. 24 May 2018

    Market cleanliness summer scholarship study published

    The Financial Markets Authority (FMA) and NZX Regulation (NZXR) today published a study carried out by Victoria University student Anna Hensen, ‘New Zealand Equity Market Cleanliness for the years 2010-2016’.
    Tags
    Media release, Roles, Business, Market operator, News & Insights
    Type
    Page

  15. 24 May 2018

    New Zealand Equity Market Cleanliness for the years 2010-2016

    The assessment is based on the prevalence of abnormal price movements ahead of material price sensitive announcements -measured by the market cleanliness statistic (MCS).
    Tags
    Offer disclosure for equity and debt offers, Roles, Reports and Papers, Business, News & Insights
    Type
    Page, Report