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1. 16 November 2015

   Presentation to Fund Managers Forum on Emerging Themes from Licensing

   Presentation to Fund Managers Forum 2015 on Emerging Themes from Licensing.

   Tags

   Speeches and presentations , News & Insights

   Type

   Page

2. 12 November 2015

   Presentation to Fund Managers Forum on Emerging Themes from Licensing

   Presentation to Fund Managers Forum on Emerging Themes from Licensing at the Fund Managers Forum, 12 November 2015

   Tags

   Speeches and presentations , News & Insights

   Type

   PDF

3. 10 November 2015

   ARA Prescribed Minimum Standards and Conditions for Licensed Auditors and Registered Audit Firms Notice 2012 Consolidated 10 Nov 2015

   Minimum standards and conditions for licensed auditors and registered audit firms notice 2015.

   Tags

   Type

   Word document

4. 9 November 2015

   ARA Prescribed Minimum Standards and Conditions for Licensed Auditors and registered audit firms 2015

   Tags

   Type

   PDF

5. 6 November 2015

   Financial Markets Conduct Act (Garden BidCo Limited)

   Financial Markets Conduct Act (Garden BidCo Limited) Exemption Notice 2015 - expired

   Tags

   Exemptions, Secondary legislation, Business

   Type

   Page

6. 6 November 2015

   Financial Markets Conduct Act (Offers of Financial Products Through Authorised Financial Advisers Supplying Personalised DIMS)

   Financial Markets Conduct Act (Offers of Financial Products Through Authorised Financial Advisers Supplying Personalised DIMS) Exemption Notice 2015 - expired

   Tags

   Exemptions, Secondary legislation, Business

   Type

   Page

7. 6 November 2015

   Proposed amendments to the Auditor Regulation Act (Prescribed Minimum Standards and Conditions for Licensed Auditors and Registered Audit Firms) Notice 2012

   The table in this paper summarises the submissions made on our consultation paper on proposed amendments to the Auditor Regulation Act (Prescribed Minimum Standards and Conditions for Licensed Auditors and Registered Audit Firms) Notice 2012, released in September 2015.

   Tags

   Auditors, Consultations, Roles, Business

   Type

   PDF

8. 6 November 2015

   Exemption Notice - Financial Markets Conduct Act Garden BidCo Limited

   Financial Markets Conduct Act (Garden BidCo Limited) Exemption Notice 2015.

   Tags

   Exemptions, Business

   Type

   PDF

9. 5 November 2015

   FMA confirms Paul Gregory in the role of director of external communications and investor resources

   Mr Gregory will be joining the FMA’s executive committee from the NZ Super Fund where he has been since March 2009, firstly as head of communications before shifting to the investments team.

   Tags

   Governance, Media release, FMA, News & Insights

   Type

   Page

10. 5 November 2015

    Consultation paper charities debt securities exemption

    We are consulting on whether charities issuing debt securities should be subject to standard Financial Markets Conduct Act 2013 (FMC Act) obligations. The FMC Act requires organisations offering debt securities to disclose certain information and to have a licensed supervisor.

    Tags

    Consultations, Business

    Type

    PDF

11. 2 November 2015

    Philippa Rosemary Drury

    Philippa Rosemary Drury, FSP461526, is a licensed Independent Trustee.

    Tags

    Authorised body under a FAP, Independent trustee, Roles, Business

    Type

    Page

12. 1 November 2015

    John Peter Milner

    John Peter Milner (Collaborative Consulting Ltd), FSP9761, is licensed to provide Discretionary Investment Management Services (DIMS).

    Tags

    Discretionary investment management scheme (DIMS), Licensed entity, Roles, Business

    Type

    Page

13. 1 November 2015

    Trustees Executors Limited

    Trustees Executors Limited, FSP37383, is licensed to provide Discretionary Investment Management Services (DIMS).

    Tags

    Discretionary investment management scheme (DIMS), Licensed entity, Roles, Business

    Type

    Page

14. 1 November 2015

    ANZ Bank New Zealand Limited

    ANZ Bank New Zealand Limited, FSP36405, is licensed to provide Discretionary Investment Management Services (DIMS).

    Tags

    Licensed entity, Roles, Discretionary investment management scheme (DIMS), Business

    Type

    Page

15. 1 November 2015

    Fund Access Limited

    Fund Access Limited is not registered to provide financial services in New Zealand.

    Tags

    Investor warning, Unregistered business, Consumer

    Type

    Page