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Found 1773 results. Displaying page 108 of 119

1. 30 May 2014

   new governance and accountability framework for mis managers and their licensed supervisors 2014

   The FMC Act introduces an accountability framework for managed investment schemes (MIS). The requirements include a statutory duty of care on both managers and supervisors of managed investment schemes. Both must also act in the best interests of investors. Managers and supervisors need to have a clear understanding of their respective roles and understand they will be held to account for their actions.

2. 28 May 2014

   Fonterra Shareholders' Market Rules - Approval of market rules notice 2014

   This notice comes into force on 28 May 2014. The notice allows NZX to replace FSM Rules dated 14 May 2013 with FSM rules dated 1 April 2014

3. 26 May 2014

   Exemption Notice - Securities Act Serko Limited

   Securities Act Exemption Notice 2014: Serko Limited.

4. 1 May 2014

   Governance and accountability framework for restricted schemes and their trustees information sheet

   The Financial Markets Conduct (FMC) Act 2013 changes the governance and accountability framework for financial products. Find out what these changes mean for restricted schemes and their trustees.

5. 1 May 2014

   Governance and accountability framework for debt issuers and their licensed supervisors

   The Financial Markets Conduct Act 2013 changes the governance and accountability framework for financial products. Find out what these changes mean for debt issuers and their licensed supervisors.

6. 1 April 2014

   FMA’s new role as regulator of conduct

   From 1 April 2014 FMA replaces the Commerce Commission as the primary regulator of conduct in relation to financial products and services. Find out what this means.

7. 31 March 2014

   Commerce Commission - MOU

   MOU concerning consultation, cooperation and the exchange of information between the FMA and the Commerce Commission

8. 10 March 2014

   CE expense disclosure - hospitality - 2014 Jan-Feb

   CE hospitality expense disclosure, for the period Jan-Feb 2014 for Liam Mason

9. 1 March 2014

   KiwiSaver schemes monitoring investment risk guidance

   This Guidance Note is designed to assist Trustees of retail non-restricted KiwiSaver schemes (Trustees), in performing their functions effectively.

10. 28 February 2014

    Expense disclosure CE other 2014 jan feb

    CE expenses disclosure for the period 1 January 2014 - 3 February 2014

11. 28 February 2014

    Expense disclosure CE travel 2014 jan feb

    CE expenses disclosure for the period 1 January 2014 - 3 February 2014

12. 11 February 2014

    ASX Ltd Financial Product Market Licence 2014

    New Zealand Financial Product Market Licence (Australian Securities Exchange Limited) 2014

13. 1 February 2014

    Broker Obligations guidance note

    The focus of this guidance is on custody of client money and client property, and the key obligation of brokers to hold client money and client property on trust.

14. 31 January 2014

    consultation paper financial reporting regulatory policy for financial reporting designations and exemptions

15. 30 January 2014

    Expense disclosure CE gifts 2013 Jul Dec

    CE gifts and hospitality disclosure for the period 1 July 2013 - 31 December 2013