Document Library

Found 1758 results. Displaying page 106 of 118

1. 1 May 2014

   Governance and accountability framework for restricted schemes and their trustees information sheet

   The Financial Markets Conduct (FMC) Act 2013 changes the governance and accountability framework for financial products. Find out what these changes mean for restricted schemes and their trustees.

2. 1 May 2014

   Governance and accountability framework for debt issuers and their licensed supervisors

   The Financial Markets Conduct Act 2013 changes the governance and accountability framework for financial products. Find out what these changes mean for debt issuers and their licensed supervisors.

3. 18 April 2014

   Exemption Notice 2014 - Securities Act (Diligent Board Member Services Inc.)

   Securities Act (Diligent Board Member Services Inc.) Exemption Notice 2014

4. 18 April 2014

   Exemption Notice 2014 - Financial Reporting Act (Diligent Board Member Services, Inc.)

   Financial Reporting Act (Diligent Board Member Services, Inc.) Exemption Notice 2014

5. 1 April 2014

   FMA’s new role as regulator of conduct

   From April 2014, FMA became the main regulator of conduct for financial products and services, replacing the Commerce Commission.

6. 31 March 2014

   Commerce Commission - MOU

   MOU concerning consultation, cooperation and the exchange of information between the FMA and the Commerce Commission

7. 28 March 2014

   Exemption Notice 2014 - Futures Contracts (J.P. Morgan Securities LLC)

   Futures Contracts (J.P. Morgan Securities LLC) Exemption Notice 2014

8. 12 March 2014

   Exemption Notice 2014 - Securities Act (Genesis Energy Limited Crown share offer)

   Securities Act (Genesis Energy Limited Crown share offer) Exemption Notice 2014

9. 10 March 2014

   CE expense disclosure - hospitality - 2014 Jan-Feb

   CE hospitality expense disclosure, for the period Jan-Feb 2014 for Liam Mason

10. 1 March 2014

    KiwiSaver schemes monitoring investment risk guidance

    This Guidance Note is designed to assist Trustees of retail non-restricted KiwiSaver schemes (Trustees), in performing their functions effectively.

11. 28 February 2014

    Expense disclosure CE travel 2014 jan feb

    CE expenses disclosure for the period 1 January 2014 - 3 February 2014

12. 28 February 2014

    Expense disclosure CE other 2014 jan feb

    CE expenses disclosure for the period 1 January 2014 - 3 February 2014

13. 18 February 2014

    Exemption Amendment Notice 2014 - Securities Act (Auckland Transport)

    Securities Act (Auckland Transport) Exemption Amendment Notice 2014

14. 11 February 2014

    ASX Ltd Financial Product Market Licence 2014

    New Zealand Financial Product Market Licence (Australian Securities Exchange Limited) 2014

15. 4 February 2014

    Exemption Notice 2014 - Securities Act (Scales Corporation Limited and George H Investments Limited)

    Securities Act (Scales Corporation Limited and George H Investments Limited) Exemption Notice 2014