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Exemption Notice 2015 - Securities Act (Arbor Management Limited)

Securities Act (Arbor Management Limited) Exemption Notice 2015

RBNZ designation and oversight of designated settlement system

This document explains Part 5C of the Reserve Bank of New Zealand Act 1989 and the roles and policies of the Reserve Bank and the Financial Markets Authority in relation to the designation and oversight of designated settlement systems.

Issuers registers of regulated products and the FMAs discretion under section 224

This information sheet outlines the requirements relating to issuers’ registers of regulated products under Subpart 4 of Part 4 of the Financial Markets Conduct Act 2013 (FMC Act). It also sets out how the FMA will exercise its discretion to authorise an issuer to decline a request for a copy of a register under section 224 of the FMC Act.

Custodians of managed investment schemes information sheet

This information sheet outlines the duties and responsibilities under the Financial Markets Conduct Act 2013 (FMC Act) for custodians of registered managed investment schemes.

Certification process - new KiwiSaver, superannuation and workplace savings schemes

The FMA certification process for the registration of new KiwiSaver, superannuation and workplace savings schemes

Reporting SIPO limit breaks Information sheet

This information sheet outlines the reporting obligations of a Managed Investment Scheme (MIS) manager if there has been a limit break under its Statement of Investment Policy and Objectives (SIPO) under Part 4 of the Financial Markets Conduct Act 2013 (FMC Act).

Information sheet Related party transactions under the Financial Markets Conduct Act 2013.1.1

This information sheet outlines the rules on related-party transactions that apply to managed investment schemes under the Financial Markets Conduct Act 2013 (FMC Act).

Exemption notice - Securities Act Augusta Funds Management Limited Southgate Proportionate Ownership Scheme

Securities Act Augusta Funds Management Limited Southgate Proportionate Ownership Scheme Exemption Notice 2015

Going Public - a directors guide

FMA & IoD guide helps NZ directors evaluate going public & understand IPO processes without covering full legal obligations.

Mark - Joseph Schroeder and Justin William Prain - Reserved Judgment

Reserved Judgment of the District Court of Christchurch in the case against Mark Joseph Schroeder and Justin William Prain.

FMA DIMS seminar presentation

FMA seminar outlines definition of DIMS, DIMS types, licensing, contingency exemptions, and client agreement requirements for financial advisers.

Westpac - Settlement Agreement

Settlement agreement with Westpac New Zealand Limited; Westpac Banking Corporation regarding interest rate swaps sales to certain rural customers, 16 February 2015.

Sean Wood - Reserved Judgment

Reserved Judgment in the case against Sean Wood.

Expense disclosure CE Gifts 2014 Jul Dec

CE gifts and hospitality disclosure for the period 1 July 2014 - 31 December 2014.

Expense disclosure CE Hospitality 2014 Jul Dec

CE expenses disclosure for the period 1 July 2014 - 31 December 2013

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