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

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Licence Application Guide - overseas Auditors and Audit Firm registrations

Guide for overseas auditors and firms on applying for audit registration authorisation and standard auditor licences with the FMA.

Exemption Notice 2012 - Futures Contracts (Asia-Pacific Risk Management Limited)

Futures Contracts (Asia-Pacific Risk Management Limited) Exemption Notice 2012

Exemption Notice 2012 - Securities Act (Masthead Joint Venture)

Securities Act (Masthead Joint Venture) Exemption Notice 2012

Exemption Notice 2012 - Financial Reporting Act UBS AG

Financial Reporting Act UBS AG Exemption Notice 2012

Exemption Notice 2012 - Securities Act (Livestock Improvement Corporation Limited)

Securities Act (Livestock Improvement Corporation Limited) Exemption Notice 2012

Auditor Regulation Act - Prescribed Minimum Standards for Accredited Bodies - 2012

Prescribed Minimum Standards for Accredited Bodies - Notice 2012. This notice comes into force the day after its notification in the NZ Gazette

Exemption Notice 2012 - Securities Act (ING Management Limited, Ingenia Communities Holdings Ltd and Ingenia Communities RE Ltd)

Securities Act (ING Management Limited, Ingenia Communities Holdings Ltd and Ingenia Communities RE Ltd) Exemption Notice 2012

Policies and guidance for the assessment of applications to be an accredited body

FMA policy on accreditation applications, conditions, and process for becoming an accredited body under financial market regulations.

Exemption Notice 2012 - Securities Act Aurecon Australia Group Limited and Aurecon

Securities Act Aurecon Australia Group Limited and Aurecon Exemption Notice 2012

Exemption Notice (No 2) 2012 - Securities Act Fonterra Co operative Group Limited

Securities Act Fonterra Co operative Group Limited Exemption Notice (No 2) 2012

Exemption Notice 2012 - Securities Act Fonterra Co operative Group Limited

Securities Act Fonterra Co operative Group Limited Exemption Notice 2012

Exemption notice - Securities Act Fonterra Co operative Group limited

Securities Act Exemption Notice 2012: Fletcher Building Limited and Fletcher Building Industries Limited.

Exemption Notice 2012 - Securities Act Fundzi Limited Pre paid Debit Cards

Securities Act Fundzi Limited Pre paid Debit Cards Exemption Notice 2012

AML/CFT Guide for small financial adviser businesses

This guide is designed to help financial advisers working independently or in a small business comply with their obligations under the Anti-Money Laundering and Countering the Financing of Terrorism Act 2009 (the AML/CFT Act) and associated regulations (together AML/CFT law).

Expense disclosure CE gifts and hospitality six monthly disclosure 2011 jul dec

CE expenses disclosure for the period 1 July 2011 - 31 December 2011

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