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Found 1604 results. Displaying page 1 of 107

23 April 2024

liquidity risk management guide

This FMA guide outlines how Managers and Supervisors can demonstrate they are effectively managing and overseeing liquidity risk.

Tags

Managed Investment Schemes, Supervisors, Roles, Business, Managed investment schemes

Type

PDF, Guidance
23 April 2024

Submissions report Liquidity risk management guide

Submissions report following the consultation: Liquidity risk management guide.

Tags

Supervisors, Roles, Business, Managed investment schemes

Type

PDF
23 April 2024

Annual letter of expectation from Hon. Andrew Bayly

Annual letter of expectation from the Hon. Andrew Bayly for the period 2024/25.

Tags

Annual letter of expectations from the Minister, FMA

Type

PDF, Letter
22 April 2024

Exemption Notice 2024 - Financial Markets Conduct Climate related Disclosures Nufarm Finance NZ Limited

Financial Markets Conduct (Climate-related Disclosures – Nufarm Finance (NZ) Limited) Exemption Notice 2024

Tags

Type

PDF, Exemption notice
19 April 2024

Exemption Notice 2024 - Financial Markets Conduct Goldman Sachs

Financial Markets Conduct (Goldman Sachs) Exemption Notice 2024

Tags

Type

PDF, Exemption notice
18 April 2024

Regulatory Impact Statement CRD exemptions for foreign listed issuers

Regulatory Impact Statement (RIS) document for Exemptions for foreign listed issuers from climate reporting

Tags

RIS, Climate Reporting Entities, Business

Type

PDF
15 April 2024

Exemption Notice 2024 - Todd Family Office Limited Financial Reporting

Exemption Notice 2024 - Todd Family Office Limited Financial Reporting

Tags

Type

PDF, Exemption notice
11 April 2024

Feedback form Proposed exemptions for UK pension transfer advice

Please submit this feedback form electronically in MS Word format and email it to us at [email protected] with ‘Proposed exemptions for advice on United Kingdom law aspects of defined benefit pension transfers: [your organisation’s name]’ in the subject line. Thank you.

Tags

Type

Word document, Consultation
11 April 2024

Guidance Notification of incidents relating to the operational resilience of technology systems

Notification of incidents relating to the operational resilience of technology systems

Tags

Type

PDF, Guidance
11 April 2024

Consultation paper: Proposed exemptions for UK pension transfer advice

Have your say on proposed exemptions for UK firms giving financial advice to New Zealand clients on UK pension transfers.

Tags

Roles, Business, Managed investment schemes, Supervisor

Type

PDF, Consultation
8 April 2024

Submissions report: Standard condition on business continuity and technology systems

Submissions report: Standard condition on business continuity and technology systems

Tags

Type

PDF
8 April 2024

Standard Conditions for Peer to peer

If you are granted a peer-to-peer (P2P) lending service licence, the licence will be subject to the following conditions.

Tags

Standard conditions, Roles, Licensing & registration, Business, Peer-to-peer lending service providers

Type

PDF
8 April 2024

Standard Conditions for DIMS

DIMS standard conditions, updated April 2024 explains the systems and procedures to maintain relevant records pertaining to your market service and the records you must provide to the FMA to enable us to monitor your on- going capability to effectively perform the DIMS in accordance with the applicable eligibility criteria in the Act.

Tags

Discretionary investment management scheme (DIMS), Standard conditions, Roles, Licensing & registration, Business

Type

PDF
8 April 2024

Standard conditions for MIS

If the FMA grants you a licence to act as a manager of a non-restricted and registered managed investment
scheme (MIS manager licence), the licence will be subject to conditions set out in section 402 of the
Financial Markets Conduct Act 2013 (FMC Act).

Tags

Standard conditions, Roles, Licensing & registration, Business, Managed investment schemes, Supervisor

Type

PDF
8 April 2024

Standard Conditions for Crowd Funding

If you are granted a crowdfunding service licence, the licence will be subject to these standard conditions.

Tags

Crowdfunding providers, Standard conditions, Roles, Licensing & registration, Business

Type

PDF