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Document Library

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

Found 1606 results. Displaying page 14 of 108

  1. 8 May 2023

    Supervisor Licence - the new zealand guardian trust company limited

    This licence certificate is to certify that The New Zealand Guardian Trust Company LImited, FSP33501 is licenced as a Supervisor in respect of debt securities and registered schemes in New Zealand.
    Tags
    Licence, Roles, Licensing & registration, Business, Supervisor
    Type
    PDF

  6. 27 April 2023

    Change of manager director notification form

    Reg 191 form for FMCA licence types.
    Tags
    Crowdfunding providers, Roles, Business, Managed investment schemes, Peer-to-peer lending service providers, Supervisor
    Type
    PDF

  7. 21 April 2023

    2023 FMA Annual Letter of Expectations

    Letter of expectations delivered by the Minister to the FMA for the 2023/24 period.
    Tags
    Annual letter of expectations from the Minister, FMA
    Type
    PDF

  8. 20 April 2023

    Authorised Bodies Climate Reporting Entities Flow Chart

    This flowchart can be used to determine if an authorised body is a climate reporting entity.
    Tags
    Authorised body under a FAP, Climate related disclosure, Roles, Climate Reporting Entities, Business
    Type
    PDF

  9. 20 April 2023

    Am I a Climate Reporting Entity FAQ

    Entities required by legislation to produce climate statements are known as Climate Reporting Entities or CREs. Find out if you are a Climate Reporting Entity on this fact sheet.
    Tags
    Climate related disclosure, Banking, Insurance Providers, Roles, Authorised body under a FAP, Financial Institutions, Climate Reporting Entities, Business, Managed investment schemes, Supervisor
    Type
    PDF, Fact sheet

  10. 12 April 2023

    Wei (Walker) Zhong and Lei (Regina) Ding - Judgment

    High Court Judgment: Wei (Walker) Zhong and Lei (Regina) Ding have been found to have contravened the Financial Markets Conduct Act 2013 in relation to the trading of Oceania Natural Limited (ONL) shares.
    Tags
    Judgment, Enforcement
    Type
    PDF

  11. 6 April 2023

    Peer-to-Peer lending and Crowdfunding: sector snapshot

    Crowdfunding and Peer-to-Peer sector report for the 2022 period.
    Tags
    Crowdfunding providers, Reports and Papers, Roles, Business, News & Insights, Peer-to-peer lending service providers
    Type
    PDF

  12. 5 April 2023

    Prosecution policy

    This prosecution policy (the Prosecution Policy) sets out the specific decision-making criteria to be applied when considering criminal prosecution
    Tags
    Enforcement
    Type
    PDF

  14. 4 April 2023

    Effective disclosure guidance

    This guidance note is for Issuers of securities under the Securities Act 1978 pursuant to the transitional provisions of the Financial Markets Conduct Act 2013. It is also for their directors and advisers. It gives guidance on the approach the Financial Markets Authority (FMA) intends to take in reviewing prospectuses and investment statements for compliance with the law.
    Tags
    Directors, Roles, Derivative Issuer, Business
    Type
    PDF, Guidance

  15. 30 March 2023

    Content and form of Disclose register information guidance

    This guidance note is for Issuers and advisers who are required to produce a register entry for an offer of financial products under the FMC Act 2013. It gives guidance on matters the FMA recommends you consider when producing your register entry.
    Tags
    Derivative Issuer, Financial Adviser, Roles, Business
    Type
    PDF, Guidance