Document Library

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

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Identity code of practice - OIA response

Identity code of practice OIA response, 11 January 2013

Forsyth Barr - Settlement Agreement

Settlement Agreement with Credit Agricole Corporate and Investment Bank; Credit Sail Limited; Calyon Hong Kong Limited; Forsyth Barr Limited and Forsyth Barr Group Limited, 12 December 2012.

Exemption Notice 2012- Securities Act Betashares Capital Limited

Securities Act Betashares Capital Limited Exemption Notice 2012

Commissione Nazionale per le Societa e la Borsa (Italy) - MOU

MOU concerning consultation, cooperation and the exchange of information related to the supervision of AIFMD entities between the FMA and the Commissione Nazionale per le Societa e la Borsa (Italy).

Class exemption review final consultation paper

In this paper we provide an update and seek submissions on proposals relating to the review the Financial Markets Authority (FMA, or we) are undertaking on 17 class exemption notices - December 2012.

Exemption 2012 - Securities Act PA Consulting Group Limited Restructure

Securities Act PA Consulting Group Limited Restructure Exemption 2012

FMA Annual Report 2012

FMA Annual Report 2012.

FMA letter to Bruce Tichbon about Ross Asset Management Ltd

Letter to Bruce Tichbon about Ross Asset Management Ltd

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).

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Document Library

Identity code of practice - OIA response

Forsyth Barr - Settlement Agreement

Exemption Notice 2012- Securities Act Betashares Capital Limited

Commissione Nazionale per le Societa e la Borsa (Italy) - MOU

Class exemption review final consultation paper

Exemption 2012 - Securities Act PA Consulting Group Limited Restructure

FMA Annual Report 2012

FMA letter to Bruce Tichbon about Ross Asset Management Ltd

Issuers of securities and participants in issues guideline

Exemption Notice 2012 - Securities Act Kingdom Resources Trust

Exemption Notice 2012 - Securities Act Union Medical Benefits Society Limited

Exemption No 4 2012 - Securities Act Fonterra Co operative Group Limited

Exemption Notice 2012 - Futures Contracts OM Financial Limited

Exemption notice 2012 - Securities act tairua marina

New Zealand Institute of Chartered Accountants (NZICA) - MOU