Document Library

Found 1795 results. Displaying page 117 of 120

1. 1 June 2012

   KiwiSaver sale and distribution guidance

   This guidance note provides guidance on the FMAs expectations for the sale of KiwiSaver schemes within the requirements and spirit of the Financial Advisers Act 2008 (the Act). This guidance focuses on factors FMA will take into account when considering whether advice is given, and if so, whether the advice is categorised as a class or personalised service.

2. 1 June 2012

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

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

3. 1 June 2012

   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.

4. 25 May 2012

   Exemption Notice 2012 - Securities Act (Masthead Joint Venture)

   Securities Act (Masthead Joint Venture) Exemption Notice 2012

5. 25 May 2012

   Exemption Notice 2012 - Financial Reporting Act UBS AG

   Financial Reporting Act UBS AG Exemption Notice 2012

6. 11 May 2012

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

   Securities Act (Livestock Improvement Corporation Limited) Exemption Notice 2012

7. 8 April 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

8. 6 April 2012

   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

9. 1 April 2012

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

   Securities Act Aurecon Australia Group Limited and Aurecon Exemption Notice 2012

10. 1 April 2012

    April 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.

11. 29 March 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

12. 12 March 2012

    Exemption notice - Securities Act Fonterra Co operative Group limited

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

13. 12 March 2012

    Exemption Notice 2012 - Securities Act Fonterra Co operative Group Limited

    Securities Act Fonterra Co operative Group Limited Exemption Notice 2012

14. 9 March 2012

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

    Securities Act Fundzi Limited Pre paid Debit Cards Exemption Notice 2012

15. 31 January 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).