Document Library

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

Keywords

Date Published

Sort by:

Found 1766 results. Displaying page 51 of 118

29 March 2021

Expense Disclosure CE Travel Dec 2020

CE expense disclosure for the period 1 July 2020 - 31 December 2020.
26 March 2021

Exemption notice - AIA International Limited

Financial Markets Conduct (AIA International Limited) Exemption Notice 2021.
25 March 2021

Consultation Response to submissions regulatory returns DI MIS DIMS

Response to consultation submissions: Content of regulatory returns for licensed DI, MIS managers and DIMS providers.
23 March 2021

Exemption notice - Financial Markets Conduct Trustee Executors Limited

Financial Markets Conduct (Trustees Executors Limited) Exemption Notice 2021
18 March 2021

Exemption Notice - QBE Group 2021

Financial Markets Conduct Exemption Notice 2021: QBE Group.
16 March 2021

Exemption notice - EML Payment Solutions

EML Payment Solutions Exemption Notice 2021
16 March 2021

Exemption notice - Financial Markets Conduct Merrill Lynch Pierce Fenner Smith Incorporated

Financial Markets Conduct Merrill Lynch Pierce Fenner Smith Incorporated Exemption Notice 2021
11 March 2021

2021/22 Letter of Expectations from the Minister

2021/22 Letter of Expectations from the Minister
10 March 2021

Consultation paper Proposed class exemption for restricted schemes

Consultation paper: Proposed class exemption for restricted schemes from certain disclosure and reporting obligations.
9 March 2021

Financial Markets Conduct (Australian Licensees) Exemption Notice 2020 guidance note

This guidance note 2020 provides an overview of the exemption notice relating to Australian advice businesses giving advice to New Zealand retail clients, and the circumstances in which a business may be able to rely on it.
9 March 2021

Consultation Recognition of Australian adviser qualifications submissions report

The following submissions were received in response to our consultation on recognition of Australian adviser qualifications.
9 March 2021

Proposed exemption restricted schemes feedback form

Consultation feedback form: restricted schemes
3 March 2021

Exemption notice - Allianz Australia Insurance Limited

Allianz Australia Insurance Limited Exemption Notice 2021.
2 March 2021

Exemption notice - Financial Markets Conduct ICAP Brokers Pty Limited and ICAP New Zealand Limited

Financial Markets Conduct (ICAP Brokers Pty Limited and ICAP New Zealand Limited) Exemption Notice 2021
19 February 2021

Exemption notice - Financial Markets Conduct Insider Trading Livestock Improvement Corporation Limited

Financial Markets Conduct (Insider Trading - Livestock Improvement Corporation Limited) Exemption Notice 2021