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NZX, as New Zealand’s only Registered Exchange, is an essential part of New Zealand’s financial markets. The General Obligations Review provides FMA with the opportunity to report on the adequacy of the arrangements NZX had in place to comply with its obligations during a particular review period, and to identify issues that, in FMA’s view, would assist NZX to ensure its continued compliance.
FMA guide for small businesses on applying for a DIMS licence under the FMC Act, tailored for lower-risk discretionary services.
This notice allows for NZX to replace the NZ Markets Disciplinary Tribunal Rules dated 5 March 2013 with the NZ Markets Disciolinary Tribunal Rules dated 31 Jan 2014
Certificate of compliance and authority form for applying to the FMA for a market services licence under the Financial Markets Conduct Act.
Declaration to be completed by a current proposed senior manager of a licence applicant for all applications for roles under the FMC Act 2013.
Declaration to be completed by current or proposed directors of a licence applicant for market services licences under the FMC Act 2013.
Form to be completed with details of the Curriculum vitae of management team members of a licence applicant for all applications under the FMC Act 2013.
Declaration form to be completed by individual independent trustees.
This 2014 document outlines the Financial Markets Authority’s (FMA’s) priorities for monitoring reporting entities under the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (AML/CFT Act).
The Investor confidence Research report 2014 measures attitudes towards and investment in New Zealand’s financial markets. The research was carried out online using Colmar Brunton’s omnibus.
Securities Act (Millennium & Copthorne Hotels New Zealand Limited and First Sponsor Group Limited) Exemption Notice 2014
The FMC Act introduces an accountability framework for managed investment schemes (MIS). The requirements include a statutory duty of care on both managers and supervisors of managed investment schemes. Both must also act in the best interests of investors. Managers and supervisors need to have a clear understanding of their respective roles and understand they will be held to account for their actions.
This notice comes into force on 28 May 2014. The notice allows NZX to replace FSM Rules dated 14 May 2013 with FSM rules dated 1 April 2014
Securities Act Exemption Notice 2014: Serko Limited.
Securities Act (Crawford Property Trust) Exemption Notice 2014