Search results

Found 1820 results. Displaying page 102 of 122

1. 1 August 2015

   Investigations and Enforcement Report 2015

   This report highlights the key themes and issues in our investigation and enforcement activity in the year to 30 June 2015. It is intended to provide insight into the work we do, and help businesses and professionals better understand the behaviour we expect.

2. 30 July 2015

   Expense disclosure CE Gifts 2015 Jan Jun

   CE gifts and hospitality disclosure for the period 1 January 2015 - 30 June 2015

3. 30 July 2015

   Expense disclosure CE Hospitality 2015 Jan Jun

   CE expenses disclosure for the period 1 January 2015 - 30 June 2015

4. 30 July 2015

   Expense disclosure CE 2015 Jan Jun

   CE expenses disclosure for the period 1 January 2015 - 30 June 2015

5. 28 July 2015

   Exemption Notice - Financial Advisers Courtenay Nominees Limited Transaction Reporting

   Financial Advisers (Courtnenay Nominees Limited Transaction Reporting) Exemption Notice 2015.

6. 28 July 2015

   Exemption Notice - Financial Markets Conduct Act Todd Family Office Limited Transaction Reporting

   Financial Markets Conduct (Todd Family Office Limited Transaction Reporting) Exemption Notice 2015.

7. 27 July 2015

   Arena Capital Limited - Receivers report

   Receivers' First Report into the Receivership of Arena Capital Limited, 24 July 2015.

8. 16 July 2015

   Exemption Notice - Financial Markets Conduct Act Takeovers Panel

   Financial Markets Conduct Act (Takeovers Panel) Exemption Notice 2015.

9. 13 July 2015

   David J Hobbs and Jacqueline Hobbs - Enforceable Undertaking

   Enforceable Undertaking by David Hobbs and Jacqueline Hobbs, July 2015.

10. 13 July 2015

    Electricity Authority - MOU

    MOU concerning consultation, cooperation and the exchange of information between the FMA and the Electricity Authority

11. 10 July 2015

    Exemption Notice - Financial Markets Conduct Southern Pastures Management Limited

    Financial Markets Conduct (Southern Pastures Management Limited) Exemption Notice 2015

12. 6 July 2015

    Risk indicators and descriptions of managed funds draft guidance

    In December 2014 we consulted on guidance for calculating risk indicators. After consultations, feedback and subsequent discussions with businesses who have been involved in producing draft product disclosure statements, we believe it would be useful to extend that guidance note to cover additional related matters.

13. 30 June 2015

    User Guide: Annual AML/CFT Report

    The annual report is required by section 60 of New Zealand’s Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (‘the Act’). The annual report applies to activities that are covered by the Act.

14. 30 June 2015

    Southern Cross Benefits Limited Levy Waiver

    On 25 May 2015 the FMA granted a waiver of part of the FMA levy to Southern Cross Benefits Limited (SCBL).

15. 29 June 2015

    NZX Obligations Review 2015

    The Financial Markets Conduct Act 2013 (FMC Act) requires the FMA to carry out a review, at least annually, of how well a licensed market operator is meeting the market operator obligations contained in section 314 of the FMC Act, and to publish a written report. This report was published in 2015.