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The Stop Order issued by the FMA The Stop Order prohibits STL from certain activity, including:distributing communications and advertisements about itself or the offer of financial products, accepting applications or money for financial products.
Judgment in the High Court in the case against Financial Planning Limited and Impact Enterprises Limited, 17 July 2019.
OIA response, dated 15 July 2019, regarding any information related to the Rural Growth Fund Scheme (Scheme), operated by the National Bank and later the ANZ National Bank
Financial Markets Conduct (Napier Port Holdings Limited) Exemption Notice 2019
This report 2019 summarises the findings of our thematic review of cyber-resilience in New Zealand financial services, and provides guidance for firms in areas where we have identified the need for improvement. It will be useful for our regulated sectors, to help ensure they comply with our expectations and best practice.
The purpose of this report is to report our findings on comparing the KiwiSaver fees with fees for UK Contract Based superannuation schemes.
Part 1, Section 2 of the amended Identity Verification Code of Practice 2013 (IVCOP) currently refers to the older 18+ card as an example of secondary or supporting form of photographic identification, which is to be used in conjunction with a form of primary nonphotographic identification such as a birth certificate in order to meet the standard set by the IVCOP.
The Statement of Performance Expectations (SPE) is one of two documents that set out how we measure our future performance and report on the progress of that performance against our performance targets. This is our 2019 report.
Court of Appeal Judgment in the case against Paul Neville Bublitz, 4 July 2019.
Enforceable Undertaking by Westpac New Zealand Limited (WNZL) on 4 July 2019.
This is a form for completion by all AML/CFT reporting entities to the FMA that should be completed and submitted on an annual basis.
This document is the Disclose Register for KiwiSaver fund updates for 30 June 2019
This document is the Disclose Register for MIS fund updates for 30 June 2019
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 2019.
OIA response, dated 28 June 2019, regarding gifts or hospitality provided by ANZ/David Hisco