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11 February 2014

ASX Ltd Financial Product Market Licence 2014

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

Investor experience of IPOs - research report

This document explores attitudes towards investing in New Zealand’s financial markets, understand the experience of investing in New Zealand’s financial markets, understand the impact of offer documentation on investment decisions, and additionally, this research aims to provide profiling information on New Zealand investors. February 2014
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.
31 January 2014

consultation paper financial reporting regulatory policy for financial reporting designations and exemptions
30 January 2014

Expense disclosure CE gifts 2013 Jul Dec

CE gifts and hospitality disclosure for the period 1 July 2013 - 31 December 2013
30 January 2014

Expense disclosure CE hospitality 2013 jul dec

CE expenses disclosure for the period 1 July 2013 - 31 December 2013
30 January 2014

Expense disclosure CE 2013 jul dec

CE expenses disclosure for the period 1 July 2013 - 31 December 2013
30 January 2014

Expense disclosure CE travel 2013 jul dec

CE expenses disclosure for the period 1 July 2013 - 31 December 2013
28 January 2014

2014 Letter of Expectations

The letter of expectation 2014 is delivered by the Minister to the FMA to formalise expectation of the FMA as a Crown entity.
24 January 2014

Lombard - Settlement Agreement

News release issued by PWC, 24 January 2014 about settlement agreement with the Directors of Lombard and their insurers.
18 December 2013

National Finance - Supreme Court decision

Supreme Court of New Zealand Judgment against application for leave to appeal by National finance.
17 December 2013

National Bank of Slovakia - MOU

MOU concerning consultation, cooperation and the exchange of information related to the supervision of AIFMD entities between the FMA and the National Bank of Slovakia
12 December 2013

Hellenic Capital Market Commission (Greece) - MOU

MOU concerning consultation, cooperation and the exchange of information related to the supervision of AIFMD entities between the FMA and the Hellenic Capital Market Commission (Greece).
12 December 2013

Estonian Financial Supervision Authority - MOU

MOU concerning consultation, cooperation and the exchange of information related to the supervision of AIFMD entities between the FMA and the Estonian Financial Supervision Authority (Estonia).
12 December 2013

Autorite des marches financiers (France) - MOU

MOU concerning consultation, cooperation and the exchange of information related to the supervision of AIFMD entities between the FMA and the Autorite des marches financiers (France)