Search results

Found 1778 results. Displaying page 79 of 119

1. 12 March 2018

   FMA’s media release on 12 March 2018 - OIA response

   OIA response to FMA’s media release on 12 March 2018 regarding the five businesses being warned for Anti-Money Laundering/Countering Financing of Terrorism (AML/CFT) failures. Response dated 5 April 2018.

2. 9 March 2018

   Exemption notice - Arria NLG Limited Scheme

   Financial Markets Conduct (Arria NLG Limited Scheme) Exemption Notice 2018

3. 28 February 2018

   Corporate Governance Handbook 2018

   The Corporate Governance Handbook 2018 was produced by the FMA as a practical guide for directors and executives to apply corporate governance principles.

4. 27 February 2018

   Corporate governance handbook consultation submissions report

   This document summarises the key themes from the submissions to our consultation for the updated Corporate Governance Handbook, and our response to them. It also includes the individual submissions.

5. 22 February 2018

   Consultation for exemption to enable personalised digital advice submissions report

   A summary of submissions on the second consultation on the exemption to enable personalised digital advice.

6. 22 February 2018

   RIS Exemption to enable personalised digital advice 2018

   This regulatory impact statement (RIS) is for financial adviser entities, advisers, and other interested parties. It discusses an exemption to enable the provision of personalised digital advice services.

7. 19 February 2018

   Conduct Outcomes Report 2017

   The Conduct Outcomes Report outlines how we responded to the areas of misconduct we saw during 2017. It covers our enforcement action, monitoring and supervision work, and our activities to address risks and harms on our regulatory perimeter. It also includes good practice suggestions for licensed financial service providers, and sets out where we will focus our energies in 2018.

8. 13 February 2018

   Fonterra Shareholders - Approval of Rule Change Notice 2018

   The notice approves changes to the FSM Rules that were provided to the FMA by NZX for approval on 22 Dec 2017. These changes will be incorporated into the FSM Rules at a future date to be determined by the NZX.

9. 9 February 2018

   Expense disclosure CE Other July to December 2017

   CE expenses disclosure for the period 1 July 2017 - 31 December 2017

10. 9 February 2018

    Exemption notice - Australian Qualified Financial Advisers

    Financial Advisers (Australian Qualified Advisers) Exemption Notice 2018.

11. 9 February 2018

    Exemption Notice - trueEX LLC

    Financial Markets Conduct Exemption Notice 2018 - trueEX LLC.

12. 7 February 2018

    Designation Amendment Notice MIPs

    Financial Markets Conduct (Shares in Investment Companies) Designation Amendment Notice 2018

13. 7 February 2018

    New Zealand Police - MOU

    MOU concerning consultation, cooperation and the exchange of information between the FMA and New Zealand Police

14. 1 February 2018

    Designation of certain shares in investment companies as managed investment products information sheet

    This information sheet explains the class notice which designates certain shares in investment companies as managed investment products, and the company which issues them as a managed investment scheme.

15. 31 January 2018

    AML/CFT Guide for small financial adviser businesses

    This guide is designed to help financial advisers working independently or in a small business comply with their obligations under the Anti-Money Laundering and Countering the Financing of Terrorism Act 2009 (the AML/CFT Act) and associated regulations (together AML/CFT law).