Document Library

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

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Found 1755 results. Displaying page 65 of 117

27 June 2019

NZX Obligations Review 2018

Under the FMC Act, we are required to review at least annually how well a licensed market operator is meeting its obligations, and to publish a written report. Broadly, these relate to the areas of operation that are regulatory in nature. Publishing the report provides transparency into our oversight of NZX. This report was published in 2018.
25 June 2019

Consultation transitional licensing standard conditions

Consultation: Proposed standard conditions for financial advice provider transitional licences
5 June 2019

Kiwi Wealth Limited Amendment Notice 2019

KiwiSaver Default Provider (Kiwi Wealth) Notice - fee can be changed by a default provider by introducing a maximum amount
24 May 2019

Exemption notice - Clearwater Golf Club Limited

Financial Markets Conduct (Clearwater Golf Club Limited) Exemption Notice 2019
23 May 2019

Application Form - Supervisors Licence TRU1.1 variation

APPLICATION FORM FOR FINANCIAL MARKETS SUPERVISORS LICENCE VARIATION
14 May 2019

5 Most Expensive Trials - OIA response

OIA response, dated 14 May 2019, regarding the FMA’s five most expensive trials, what they involved and a summary of costs
1 May 2019

Financial reporting reviews 2019

This statement outlines our approach to financial reporting reviews, and highlights selected areas of interest for 2019/20 reviews.
1 May 2019

Morgan De Vere Corporate Finance Limited - Court decision

District Court decision in the case against Morgan De Vere Corporate Finance Limited, 1 May 2019.
29 April 2019

Financial Exemption Notice 2015 - Markets Conduct (Chubb Insurance Company of Australia Limited)

Financial Markets Conduct (Chubb Insurance Company of Australia Limited) Exemption Notice 2015
24 April 2019

Exemption Notice - Financial Markets Conduct Goldman Sachs

Financial Markets Conduct Exemption Notice 2019: Goldman Sachs.
16 April 2019

Exemption Notice - RIS Group Limited

Financial Markets Conduct Exemption Notice 2019: RIS Group Limited.
15 April 2019

2019 Annual Letter of expectations

Annual letter of expectations from the Minister April 2019
12 April 2019

ANZ Bank New Zealand Limited - Supreme Court Judgment

Supreme Court Judgment in the case against ANZ Bank New Zealand Limited, 12 April 2019.
9 April 2019

Mark Talbot - Enforceable Undertaking

Mr Talbot has offered this enforceable undertaking following an investigation made by the FMA into his trading of shares in VMob Group Limited (VMob). 3 April 2019.
9 April 2019

Mark Stephen Talbot - Sentencing Notes

High Court Sentencing remarks in the case against Mark Stephen Talbot, 9 April 2019.