Bruce Allan Baillie - NZICA decision on appeal
NZICA Bruce Allan Baillie decision on appeal.
Use our AI search to ask us a question or use keywords to search for pages or documents.
Example: "How do I apply for a financial institution licence?", "FMA Annual Report 2024"
A filtered search by topic for all guidance, reports or research documents stored on the FMA website.
NZICA Bruce Allan Baillie decision on appeal.
This report covers the FMA’s review of SGX-DT for the period 14 September 2021 (the commencement date of SGX-DT’s licence) to 30 June 2022.
This review covers the period 1 July 2020 to 30 June 2022 and is our fourth review of ASX 24 since its licence came into effect on 1 December 2014.
FMA response to OIA request modelling relating to changes to GST treatment of investment management fees
OIA request for information on FMA cases prosecuted
Our response to a OIA request relating to Kiwisaver funds moving the market
FMA formally warns Pencarrow Private Equity for AML/CFT record-keeping breaches tied to Fund V investments, April–July 2018.
OIA response to request for information surrounding the UK recruitment trip 2022
OIA response: Request for Value for Money discussion document
OIA response to a request for information on policy on trading financial derivatives
OIA response to a request for FMA statistics on bullying and harassment
This notice provides co-operative companies and industrial and provident societies with a lighter regulatory compliance pathway.
MIS fund update for 30 June 2022.
Findings from the FMA’s review of the adequacy and effectiveness of NZICA’s audit regulatory systems for the period 1 July 2021 to 30 June 2022.
Findings from the FMA’s review of the adequacy and effectiveness of CPA Australia’s audit regulatory systems for the period 1 July 2021 to 30 June 2022