Document Library

Found 1767 results. Displaying page 81 of 118

1. 28 June 2017

   Statement of Intent 2017

   Our SOI has a four-year outlook and follows the SRO by identifying the performance measures we will use to mark our progress towards achieving our regulatory objectives. This is our 2017 report.

2. 27 June 2017

   ICE Futures Europe review 2017

   2017 FMA review of ICE Futures Europe assessing compliance with New Zealand licensing obligations for derivatives markets, based on oversight by the UK Financial Conduct Authority.

3. 26 June 2017

   Exemption notice - Financial Markets Conduct Australian Scholarships Group Friendly Society Limited

   Financial Markets Conduct (Australian Scholarship Group Friendly Society Limited) Exemption Notice 2017

4. 22 June 2017

   UDC Finance Limited Waiver Notice - PDS consideration unnecessary

   UDC Finance Limited Waiver Notice under section 68 of the Financial Markets Conduct Act 2013 - PDS consideration unnecessary. June 2017.

5. 21 June 2017

   Consultation paper Robo advice exemption

   This consultation is for financial advisers, financial product providers, consumers and other interested parties. It seeks feedback on the exemption proposal to facilitate the provision of personalised robo-advice.

6. 13 June 2017

   Jeffrey Peter Honey - Sentencing notes

   Sentencing notes, district court at Auckland in the case against Jeffrey Peter Honey, 13 June 2017.

7. 7 June 2017

   KiwiSaver annual statements methodology notice

   FMA sets out 2017 KiwiSaver fee calculation methodology for providers to disclose annual total fees per member under the FMC Act.

8. 2 June 2017

   Amendment Notice 2017 FMC Shares in Investment Companies Designation

   The amendment notice amends the Financial Markets Conduct (Shares in Investment Companies) Designation Notice 2017 which came into force on the 19 May 2017.

9. 29 May 2017

   Investor Confidence Survey 2017

   The FMA carried out investor research measuring attitudes towards, and investment in New Zealand’s financial markets. The survey was conducted by Colmar Brunton in 2017.

10. 23 May 2017

    Licensing guide - FMC Act

    FMA guide outlines 4 key steps of preparation tips to successfully apply for a licence under the FMC Act, including legal requirements, gaps, Apply online and Meet with us early.

11. 22 May 2017

    Consultation Proposed exemption from obligation to prepare scheme financial statements for bundled unit trusts

    This consultation is for: managers, supervisors, auditors, administration managers, investors. It aims to: seek feedback on the exemption proposal for bundled unit trusts.

12. 16 May 2017

    Exemption notice - Financial Advisers Certified Investment Management Analyst

    Financial Advisers (Certified Investment Management Analyst) Exemption Notice 2017.

13. 15 May 2017

    Regulatory Impact Statement: Designation of shares in investment companies 2017

    This document is for investment companies, managers, advisers. It discusses a class designation of certain shares in investment companies as managed investment products.

14. 11 May 2017

    Exemption Notice - Financial Markets Conduct KiwiSaver Annual Statement Fees

    Financial Markets Conduct (KiwiSaver Annual Statement Fees) Exemption Notice 2017

15. 9 May 2017

    IMF financial system stability assessment 2017

    This report is based on the work of the Financial Sector Assessment Program (FSAP) missions that visited New Zealand in August 16–September 7, 2016 and November 2–17, 2016.