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Document Library

A filtered search by topic for all guidance, reports or research documents stored on the FMA website.

Found 1611 results. Displaying page 36 of 108

  1. 25 March 2021

    Consultation Response to submissions regulatory returns DI MIS DIMS

    Response to consultation submissions: Content of regulatory returns for licensed DI, MIS managers and DIMS providers.
    Tags
    Derivative Issuer, Discretionary investment management scheme (DIMS), Managed investment schemes, Consultations, Roles, Business
    Type
    PDF

  14. 17 February 2021

    NZX Derivatives Market Rules Approval of Rule Change Notice Feb 2021

    Pursuant to section 331 of the Act, the FMA approves changes to the NZX Derivatives Market Rules in accordance with the proposed amendments provided for approval by NZX to the FMA on 22 December 2020.
    Tags
    Regulation updates, Derivative Issuer, Roles, Business
    Type
    PDF, Notice

  15. 12 February 2021

    ANZ Bank New Zealand Limited - High Court Judgment

    On 4 June 2020 the Financial Markets Authority (“FMA”) filed civil proceedings against ANZ Bank New Zealand Limited (“ANZ”) alleging various breaches of the Financial Markets Conduct Act 2013 (“the Act”). This is the High Court Judgment.
    Tags
    Court decision, Enforcement
    Type
    PDF