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

Found 1606 results. Displaying page 103 of 108

  2. 3 December 2012

    FMA Annual Report 2012

    FMA Annual Report 2012.
    Tags
    Type
    PDF, Annual report, Corporate publications

  3. 1 December 2012

    Issuers of securities and participants in issues guideline

    This guideline is for businesses registered on the Financial Services Providers Register (FSPR) as an issuer of securities or who participate in issues of securities. If you are either of them, this guideline will help you to determine if you have obligations under the Anti-Money Laundering and Countering the Financing of Terrorism Act 2009 (AML/CFT Act).
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    PDF

  4. 1 December 2012

    Commerce Commission v Forsyth Barr - Settlement Agreement

    Settlement Agreement with the Commerce Commission by Forsyth Bar Limited; Forsyth Barr Group Limited; Credit Agricole Corporate and Investment Bank; Credit Sall Limited; Calyone Hong Kong Limited. December 2012.
    Tags
    Settlement, Enforcement
    Type
    PDF

  5. 9 November 2012

    Stakeholder survey – Final report 2012

    The FMA conducts an annual survey to establish how our stakeholders rate our performance. This is the 2012 report.
    Tags
    Reports and Papers, FMA, News & Insights
    Type
    PDF, Research

  6. 19 October 2012

    Superannuation Schemes Report 2012

    This report was issued by the Government Actuary and presented to the House of Representatives in 2012 pursuant to
    Section 194 of the KiwiSaver Act 2006.
    Tags
    Reports and Papers, Roles, Business, Managed investment schemes, News & Insights, Supervisor
    Type
    PDF, Report

  9. 1 October 2012

    KiwiSaver Report 2012

    This report also contains the fifth annual summary of statistical returns of KiwiSaver schemes, based on the Annual Returns for the period ended 31 March 2012, lodged by each individual scheme as required by section 125 of the Act.
    Tags
    Monitoring, Reports and Papers, KiwiSaver providers, Supervisor, Managed investment schemes, Roles, Business, News & Insights
    Type
    PDF

  10. 1 September 2012

    Pre-prospectus publicity - some practical guidance for issuers and their advisers

    This guidance note is intended for issuers of securities, their directors and advisers. It sets out the Financial Markets Authority’s (FMA) view on the boundaries of pre-regulated offer publicity/advertising (also commonly referred to as ‘pre-prospectus publicity’), as required by the Securities Act 1978 (Act) and FMA’s policy on the scope of pre-prospectus publicity it will support by exemption.
    Tags
    Derivative Issuer, Offer disclosure for equity and debt offers, Roles, Business
    Type
    PDF, Guidance

  14. 10 August 2012

    Inquiries, Investigations and Enforcement Report 2012

    This report summarizes the key issues and themes arising from inquiries, investigations and enforcement acitivity of the FMA during the 2011-12 financial year
    Tags
    Reports and Papers, News & Insights, Enforcement
    Type
    PDF, Report