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Document Library

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

Found 1616 results. Displaying page 65 of 108

  1. 12 March 2018

    Consultation: Content of regulatory returns for licensed DI MIS managers and DIMS providers

    This consultation is for licensed derivative issuers, managers of managed investment schemes, providers of discretionary investment management services, and other interested parties. It aims to gain feedback on our proposals for regulatory returns for licensed DI, MIS managers and DIMS providers.
    Tags
    Derivative Issuer, Discretionary investment management scheme (DIMS), Consultations, Roles, Business, Managed investment schemes
    Type
    PDF

  2. 12 March 2018

    FMA’s media release on 12 March 2018 - OIA response

    OIA response to FMA’s media release on 12 March 2018 regarding the five businesses being warned for Anti-Money Laundering/Countering Financing of Terrorism (AML/CFT) failures. Response dated 5 April 2018.
    Tags
    FMA
    Type
    PDF, OIA

  4. 28 February 2018

    Corporate Governance Handbook 2018

    The Corporate Governance Handbook 2018 was produced by the FMA as a practical guide for directors and executives to apply corporate governance principles.
    Tags
    Governance, FMA
    Type
    PDF

  5. 27 February 2018

    Corporate governance handbook consultation submissions report

    This document summarises the key themes from the submissions to our consultation for the updated Corporate Governance Handbook, and our response to them. It also includes the individual submissions.
    Tags
    Directors, Governance, Consultations, Roles, Business, FMA
    Type
    PDF, Information Sheet

  7. 22 February 2018

    RIS Exemption to enable personalised digital advice 2018

    This regulatory impact statement (RIS) is for financial adviser entities, advisers, and other interested parties. It discusses an exemption to enable the provision of personalised digital advice services.
    Tags
    RIS, Financial Advice Provider, Financial Adviser, Roles, Business
    Type
    PDF

  8. 19 February 2018

    Conduct Outcomes Report 2017

    The Conduct Outcomes Report outlines how we responded to the areas of misconduct we saw during 2017.
    It covers our enforcement action, monitoring and supervision work, and our activities to address risks and harms on our regulatory perimeter. It also includes good practice suggestions for licensed financial service providers, and sets out where we will focus our energies in 2018.
    Tags
    Financial Advice Provider, Supervisor, Monitoring, Roles, Business, Enforcement
    Type
    PDF

  9. 13 February 2018

    Fonterra Shareholders - Approval of Rule Change Notice 2018

    The notice approves changes to the FSM Rules that were provided to the FMA by NZX for approval on 22 Dec 2017. These changes will be incorporated into the FSM Rules at a future date to be determined by the NZX.
    Tags
    FMC Act, Legislation, Business
    Type
    PDF, Notice

  13. 7 February 2018

    Designation Amendment Notice MIPs

    Financial Markets Conduct (Shares in Investment Companies) Designation Amendment Notice 2018
    Tags
    Designations, Business
    Type
    PDF, Notice

  14. 7 February 2018

    New Zealand Police - MOU

    MOU concerning consultation, cooperation and the exchange of information between the FMA and New Zealand Police
    Tags
    Regulatory cooperation, FMA
    Type
    PDF, MOU