Document Library

Found 1758 results. Displaying page 80 of 118

1. 1 July 2017

   Offering financial products in New Zealand and Australia under mutual recognition - regulatory guide

   This is a guide for New Zealand and Australian issuers offering financial products or interests in managed or collective investment schemes in both countries. It explains what issuers have to do under the trans-Tasman mutual recognition scheme for offers of financial products. This is a joint guide published by the Australian Securities and Investments Commission (ASIC) and the New Zealand Financial Markets Authority (FMA).

2. 30 June 2017

   30 June 2017 Disclose Register KiwiSaver fund updates

   This document is the Disclose Register for KiwiSaver fund updates for 30 June 2017

3. 30 June 2017

   Exemption notice - Financial Markets Conduct Cooperatieve Rabobank U.A.

   Financial Markets Conduct (Cooperatieve Rabobank U.A.) Exemption Notice 2017

4. 30 June 2017

   Mark Warminger -Penalty Judgment

   High Court Penalty Judgment in the case against Mark Warminger, 29 June 2017.

5. 29 June 2017

   NZX Obligations Report 2017

   This report outlines our annual review of how well NZX is meeting its statutory obligations, and covers the 2016 calendar year.

6. 28 June 2017

   Exemption Notice - Financial Markets Conduct Heinz Wattie Limited Pension Plan

   Financial Markets Conduct Act 2013 exemption notice issued to Heinz Wattie Limited re Pension Plan 2017.

7. 28 June 2017

   Statement of Performance Expectation 2017

   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 2017 report.

8. 28 June 2017

   Statement of Intent 2017

   Our SOI has a four-year outlook and follows the SRO by identifying the performance measures we will use to mark our progress towards achieving our regulatory objectives. This is our 2017 report.

9. 26 June 2017

   Exemption notice - Financial Markets Conduct Australian Scholarships Group Friendly Society Limited

   Financial Markets Conduct (Australian Scholarship Group Friendly Society Limited) Exemption Notice 2017

10. 22 June 2017

    UDC Finance Limited Waiver Notice - PDS consideration unnecessary

    UDC Finance Limited Waiver Notice under section 68 of the Financial Markets Conduct Act 2013 - PDS consideration unnecessary. June 2017.

11. 21 June 2017

    Consultation paper Robo advice exemption

    This consultation is for financial advisers, financial product providers, consumers and other interested parties. It seeks feedback on the exemption proposal to facilitate the provision of personalised robo-advice.

12. 13 June 2017

    Jeffrey Peter Honey - Sentencing notes

    Sentencing notes, district court at Auckland in the case against Jeffrey Peter Honey, 13 June 2017.

13. 7 June 2017

    KiwiSaver annual statements methodology notice

    FMA sets out 2017 KiwiSaver fee calculation methodology for providers to disclose annual total fees per member under the FMC Act.

14. 2 June 2017

    Amendment Notice 2017 FMC Shares in Investment Companies Designation

    The amendment notice amends the Financial Markets Conduct (Shares in Investment Companies) Designation Notice 2017 which came into force on the 19 May 2017.

15. 29 May 2017

    Investor Confidence Survey 2017

    The FMA carried out investor research measuring attitudes towards, and investment in New Zealand’s financial markets. The survey was conducted by Colmar Brunton in 2017.