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

Found 1611 results. Displaying page 89 of 108

  2. 20 February 2015

    Going Public - a directors guide

    This guide is intended to help directors assess whether going public is the right choice for their company and provide an insight into the process of becoming a public company. It is not a comprehensive account of the legal obligations of directors during an initial public offering (IPO).
    Tags
    Directors, Roles, Business
    Type
    PDF, Guidance

  4. 16 February 2015

    Westpac - Settlement Agreement

    Settlement agreement with Westpac New Zealand Limited; Westpac Banking Corporation regarding interest rate swaps sales to certain rural customers, 16 February 2015.
    Tags
    Settlement, Enforcement
    Type
    PDF

  5. 15 February 2015

    Sean Wood - Reserved Judgment

    Reserved Judgment in the case against Sean Wood.
    Tags
    Cases, Court decision, Enforcement
    Type
    PDF

  9. 30 January 2015

    Expense disclosure CE Gifts 2014 Jul Dec

    CE gifts and hospitality disclosure for the period 1 July 2014 - 31 December 2014.
    Tags
    Chief Executive Gifts and Benefits Disclosure, FMA
    Type
    PDF

  10. 15 January 2015

    Institute of Directors - Directors guide

    This guide from the IoD outlines some of the essential behaviours directors should demonstrate to meet legal, regulatory and ethical standards, and tells you where you can go to find out more.
    Tags
    Directors, Roles, Business
    Type
    PDF

  11. 13 January 2015

    2015 Letter from the Minister

    Annual letter from the Minister 2015.
    Tags
    Annual letter of expectations from the Minister, FMA
    Type
    PDF

  12. 19 December 2014

    Consultation Personalised DIMS response to submissions

    The table in this paper summarises the submissions made on our Consultation paper: Personalised DIMS under the Financial Advisers Act 2008 (“the Act”)
    released on 19 November 2014.
    Five written submissions were received. The FMA has considered all submissions and our response to the main issues is set out in the table below.
    Tags
    Discretionary investment management scheme (DIMS), Consultations, Roles, Business
    Type
    PDF

  13. 19 December 2014

    Response to submissions Consultation paper Personalised DIMS.1

    The table in this paper summarises the submissions made on our Consultation paper: Personalised DIMS under the Financial Advisers Act 2008 (“the Act”)
    released on 19 November 2014.
    Five written submissions were received. The FMA has considered all submissions and our response to the main issues is set out in the table below.
    Tags
    Discretionary investment management scheme (DIMS), Consultations, Roles, Business
    Type
    PDF

  15. 17 December 2014

    NZICA Accredited Bodies Report 2014

    This report contains the outcome of our assessment of
    the New Zealand Institute of Chartered Accountants
    (NZICA) for the period 1 July 2013 to 30 June 2014.
    Tags
    Reports and Papers, Auditors, Roles, Business, News & Insights
    Type
    PDF