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1. 9 November 2015

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

   Tags

   Type

   PDF

2. 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

3. 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

4. 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

5. 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

6. 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

7. 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

8. 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

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   Page

9. 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

10. 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

11. 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

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    Page

12. 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

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    Page

13. 1 November 2015

    Risk indicators and description of managed funds - guidance note

    This guidance is for managers and supervisors of managed funds. It gives guidance on how to calculate risk indicators, when to update a PDS, how to describe a fund’s volatility, and in certain cases how to name your fund.

    Tags

    KiwiSaver providers, Roles, Business, Managed investment schemes, Supervisor

    Type

    PDF, Guidance

14. 1 November 2015

    Guidance on risk indicators and description of managed funds - RIS

    This Regulatory Impact Statement (RIS) considers the FMA’s proposed guidance on risk indicators and
    description of managed funds.

    Tags

    RIS, Roles, Business, Managed investment schemes

    Type

    PDF, Guidance

15. 31 October 2015

    Balmer, Jeffs & Company Limited

    Balmer, Jeffs & Company Limited, FSP14261, is licensed to provide Discretionary Investment Management Services (DIMS).

    Tags

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

    Type

    Page