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Document Library

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

Found 1610 results. Displaying page 8 of 108

  3. 5 September 2023

    Governance Thematic Review FMA and RBNZ

    This publication reports on the findings from a joint review of 29 entities across the banking, insurance, non-bank deposit taking and investment management sectors to assist boards to meet their obligations and help drive good governance outcomes.
    Tags
    Directors, Banking, Conduct, Reports and Papers, Insurance Providers, Conduct of Financial Institutions Bill (CoFI), Roles, Business, News & Insights
    Type
    PDF

  10. 4 September 2023

    Westpac CC and FMA EU

    Enforcement undertakings to the FMA and Commerce Commission, Westpac CC and FMA EU
    Tags
    Enforceable Undertaking, Enforceable undertaking, Powers, Enforcement
    Type
    PDF

  12. 24 August 2023

    Exemption Notice- Financial Markets Conduct Times-7 Group

    The Financial Markets Conduct (Times-7 Group) Exemption Notice 2023 exempts Times-7 Holdings Limited and Times-7 Research Limited (together, the issuers) from compliance with the disclosure requirements of Part 3 of the Financial Markets Conduct Act 2013 (Act).
    Tags
    FMC Act, Exemptions, Legislation, Business
    Type
    PDF, Exemption notice

  13. 23 August 2023

    Regulatory returns questions for licensed MIS

    Annual regulatory return information to be provided by licensed MIS providers to the FMA.
    Tags
    Roles, Regulatory returns, Business, Managed investment schemes
    Type
    Word document, Information Sheet, Spreadsheet

  14. 22 August 2023

    Cigna - Settlement Agreement

    The Parties have agreed to settle all matters that were the subject of the Investigation on the terms set out in this Agreement.
    Tags
    Settlement, Enforcement
    Type
    PDF