Document Library

Found 1772 results. Displaying page 100 of 119

1. 20 February 2015

   Going Public - a directors guide

   FMA & IoD guide helps NZ directors evaluate going public & understand IPO processes without covering full legal obligations.

2. 19 February 2015

   FMA DIMS seminar presentation

   FMA seminar outlines definition of DIMS, DIMS types, licensing, contingency exemptions, and client agreement requirements for financial advisers.

3. 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.

4. 15 February 2015

   Sean Wood - Reserved Judgment

   Reserved Judgment in the case against Sean Wood.

5. 30 January 2015

   Expense disclosure CE Gifts 2014 Jul Dec

   CE gifts and hospitality disclosure for the period 1 July 2014 - 31 December 2014.

6. 30 January 2015

   Expense disclosure CE Hospitality 2014 Jul Dec

   CE expenses disclosure for the period 1 July 2014 - 31 December 2013

7. 30 January 2015

   Expense disclosure CE 2014 Jul Dec

   CE expenses disclosure for the period 1 July 2014 - 31 December 2014

8. 30 January 2015

   Expense disclosure CE Travel 2014 Jul Dec

   CE expenses disclosure for the period 1 July 2014 - 31 December 2014

9. 15 January 2015

   Institute of Directors - Directors guide

   FMA & IoD guide offers NZ directors key legal duties, governance tips, and risk insights to navigate boardroom responsibilities.

10. 13 January 2015

    2015 Letter from the Minister

    Annual letter from the Minister 2015.

11. 19 December 2014

    Exemption Notice - Securities Act Heartland Bank Regulatory Capital

    Securities Act Exemption Notice 2014: Heartland Bank Regulatory Capital.

12. 19 December 2014

    Response to submissions Consultation paper Personalised DIMS.1

    Summarises FMA responses to industry feedback on proposed Personalised DIMS standards for AFAs under the Financial Advisers Act 2008.

13. 19 December 2014

    Consultation Personalised DIMS response to submissions [unused]

    FMA response to feedback on proposed eligibility and standards for AFAs offering Personalised DIMS under the Financial Advisers Act 2008.

14. 17 December 2014

    Accredited Bodies Report NZICA 2014

    Accredited Body Report – New Zealand Institute of Chartered Accountants For the period ended 30 June 2014

15. 10 December 2014

    Banking Ombudsman Scheme Limited - MOU

    MOU concerning consultation, cooperation and the exchange of information between the FMA and the Banking Ombudsman Scheme Limited