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24 February 2015

Custodians of managed investment schemes information sheet

This information sheet outlines the duties and responsibilities under the Financial Markets Conduct Act 2013 (FMC Act) for custodians of registered managed investment schemes.
24 February 2015

Reporting SIPO limit breaks Information sheet

This information sheet outlines the reporting obligations of a Managed Investment Scheme (MIS) manager if there has been a limit break under its Statement of Investment Policy and Objectives (SIPO) under Part 4 of the Financial Markets Conduct Act 2013 (FMC Act).
24 February 2015

Exemption notice - Securities Act Augusta Funds Management Limited Southgate Proportionate Ownership Scheme

Securities Act Augusta Funds Management Limited Southgate Proportionate Ownership Scheme Exemption Notice 2015
20 February 2015

Mark - Joseph Schroeder and Justin William Prain - Reserved Judgment

Reserved Judgment of the District Court of Christchurch in the case against Mark Joseph Schroeder and Justin William Prain.
20 February 2015

Going Public - a directors guide

This guide is intended to help directors assess whether going public is the right choice for their company and provide an insight into the process of becoming a public company. It is not a comprehensive account of the legal obligations of directors during an initial public offering (IPO).
16 February 2015

DIMS Seminar Christchurch February 2015

19 Feb 2015 Christchurch DIMS Seminar
16 February 2015

Westpac - Settlement Agreement

Settlement agreement with Westpac New Zealand Limited; Westpac Banking Corporation regarding interest rate swaps sales to certain rural customers, 16 February 2015.
15 February 2015

Sean Wood - Reserved Judgment

Reserved Judgment in the case against Sean Wood.
30 January 2015

Expense disclosure CE Gifts 2014 Jul Dec

CE gifts and hospitality disclosure for the period 1 July 2014 - 31 December 2014.
30 January 2015

Expense disclosure CE Hospitality 2014 Jul Dec

CE expenses disclosure for the period 1 July 2014 - 31 December 2013
30 January 2015

Expense disclosure CE 2014 Jul Dec

CE expenses disclosure for the period 1 July 2014 - 31 December 2014
30 January 2015

Expense disclosure CE Travel 2014 Jul Dec

CE expenses disclosure for the period 1 July 2014 - 31 December 2014
15 January 2015

Institute of Directors - Directors guide

This guide from the IoD outlines some of the essential behaviours directors should demonstrate to meet legal, regulatory and ethical standards, and tells you where you can go to find out more.
13 January 2015

2015 Letter from the Minister

Annual letter from the Minister 2015.
19 December 2014

Consultation Personalised DIMS response to submissions

The table in this paper summarises the submissions made on our Consultation paper: Personalised DIMS under the Financial Advisers Act 2008 (“the Act”) released on 19 November 2014. Five written submissions were received. The FMA has considered all submissions and our response to the main issues is set out in the table below.