Document Library

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

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Found 1772 results. Displaying page 94 of 119

30 November 2015

KVB Kunlun New Zealand Limited Waiver Notice

KVB Kunlun New Zealand Limited Waiver Notice under section 68 of the Financial Markets Conduct Act 2013 PDS consideration unnecessary
30 November 2015

ASB Bank Limited Waiver Notice

ASB Bank Limited Waiver Notice under section 68 of the Financial Markets Conduct Act 2013 PDS consideration unnecessary
25 November 2015

ARA Prescribed Minimum Standards and Conditions for Licensed Auditors and registered audit firms

This notice is the Auditor Regulation Act (prescribed minimum standards for Licensed Auditors and Registered Audit firms) amendment notice 2015.
24 November 2015

Financial Markets Conduct Act - NZX Participant Rules Approval of Market Rules Notice 2015

This notice allows for NZX to replace the Participant Rules dated 16 April 2015 with the corresponding rules provided to the FMA by NZX on 10 Nove 2015
17 November 2015

Exemption Notice - Financial Markets Conduct Coats Group plc Sale Facility

Financial Markets Conduct (Coats Group plc Sale Facility) Exemption Notice 2015
17 November 2015

Consultation on annual declaration of compliance for FMC Act licensees

FMA consultation on a proposed annual compliance declaration for FMC Act licensees to improve oversight, governance, and regulatory accountability.
17 November 2015

Consultation proposed variations to standard conditions of market services licences

FMA consults on adding a standard condition requiring FMC Act licensees’ governing bodies to annually declare compliance with licence terms.
12 November 2015

Presentation to Fund Managers Forum on Emerging Themes from Licensing

Presentation to Fund Managers Forum on Emerging Themes from Licensing at the Fund Managers Forum, 12 November 2015
10 November 2015

ARA Prescribed Minimum Standards and Conditions for Licensed Auditors and Registered Audit Firms Notice 2012 Consolidated 10 Nov 2015

Minimum standards and conditions for licensed auditors and registered audit firms notice 2015.
6 November 2015

Exemption Notice - Financial Markets Conduct Act Garden BidCo Limited

Financial Markets Conduct Act (Garden BidCo Limited) Exemption Notice 2015.
6 November 2015

Proposed amendments to the Auditor Regulation Act (Prescribed Minimum Standards and Conditions for Licensed Auditors and Registered Audit Firms) Notice 2012

FMA summary of submissions on proposed changes to auditor licensing and audit firm registration standards under the Auditor Regulation Act 2011.
5 November 2015

Consultation paper charities debt securities exemption

FMA consultation on ending exemptions for charities issuing debt securities, proposing full FMC Act compliance for transparency and investor protection.
1 November 2015

Risk indicators and description of managed funds - guidance note

This guidance is for managers and supervisors of managed funds. It gives guidance on how to calculate risk indicators, when to update a PDS, how to describe a fund’s volatility, and in certain cases how to name your fund.
1 November 2015

Guidance on risk indicators and description of managed funds - RIS

This Regulatory Impact Statement (RIS) considers the FMA’s proposed guidance on risk indicators and description of managed funds.
30 October 2015

Exemption Notice - Financial Markets Conduct CBA Capital Australia Pty Limited

Financial Markets Conduct (CBA Capital Australia Pty Limited) Exemption Notice 2015