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The Financial Markets Conduct Act 2013 (FMC Act) requires the FMA to carry out a review, at least annually, of how well a licensed market operator is meeting the market operator obligations contained in section 314 of the FMC Act, and to publish a written report. This report was published in 2015.
This information sheet outlines what methodology we expect providers of Discretionary Investment Management Services (DIMS) licensed under the Financial Markets Conduct Act 2013 (Act) (DIMS licensees) to use when calculating returns required by the Financial Markets Conduct Regulations 2014 (Regulations).
Financial Reporting Act American Income Life Insurance Company Exemption Notice 2015
The FMA’s “Ease of doing business survey” is a piece of research from a sample of our regulated populations and the stakeholders we deal with. This research helps us to better understand the impact that our work has on market participants and stakeholders. It informs the way we work and our focus on continuous improvement in our effectiveness and efficiency.
Financial Advisers Recognition of New Qualifications Exemption Notice 2015
This Statement of Intent further develops our strategic direction for the coming four years from July 2015 to June 2019 and has been prepared in accordance with Part 4 of the Crown Entities Act 2004. It should be read in conjunction with the Statement of Performance Expectations for each year. This is the 2015 report.
Settlement Agreement with Milford Asset Management Limited, 15 June 2015.
Financial Reporting Act (HSBC Overseas Banks) Exemption Notice 2015
Securities Act (HSBC Overseas Banks) Exemption Notice 2015
This notice come into force on 15 June 2015. The notice allows for NZX to replace sets of market rules with the corresponding rules dated 16 April 2015.
This Statement of Intent further develops our strategic direction for the coming four years from July 2015 to June 2019 and has been prepared in accordance with Part 4 of the Crown Entities Act 2004. It should be read in conjunction with the Statement of Performance Expectations for each year. This report was published in 2015.
The Investor confidence Research report 2015 measures attitudes towards and investment in New Zealand’s financial markets. The research was carried out online using Colmar Brunton’s omnibus.
Financial Markets Conduct Sovereign Services Limited Exemption Notice 2015
Offers of contributory mortgages made by contributory mortgage brokers who are not lawyers are regulated under the Securities Act (Contributory Mortgage) Regulations 1988 (Regulations). The Regulations exempt brokers from certain disclosure and governance requirements, under the Securities Act 1978.
From 1 December 2016 all new offers of contributory mortgages must be made under the FMC Act.