Securities commission Annual Report 2011
The annual report as published by the Securities Commission in 2011.
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The annual report as published by the Securities Commission in 2011.
The report details the principal matters transacted under the Act during the year ended 30 June 2011, and contains the sixth annual summary of the statistical returns, required to be lodged by KiwiSaver schemes under section 125 of the Act.
Securities Act (PSIS Limited) Exemption Notice 2011
CE travel expenses for the period 1 May 2011 - 30 June 2011
Securities Act (Apata Limited) Exemption Notice 2011
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 2011.
Financial Reporting Act (OceanaGold Corporation) Exemption Notice 2011
Securities Act (AIA Group Limited) Exemption Notice 2011
The Securities Commission Annual Report published in 2010.
Securities Act Exemption Notice 2011: Fletcher Building Limited and Fletcher Building Industries Limited.
The guidance note is intended to answer some of the queries the Commission has received regarding the assessment of good character, as well as provide further guidance on the information applicants need to provide to the Commission in relation to criminal convictions.
Our Sector Risk Assessment (SRA) helps us and the REs we supervise understand the risks of money-laundering (ML) and terrorism financing (TF) in each sector.
Guidance note: KiwiSaver distribution and disclosure, March 2010
In general terms, the costs associated with an ethical fund are similar to the costs associated with a normal equity fund when bottom-up analysis is undertaken. Hence, for funds with similar asset profiles, the Government Actuary would expect the fee levels of ethical funds to be similar to the fee levels of non-ethical funds. However if a global overlay is used, it would be expected that the additional cost necessary for the additional services to be quantified.
Bilateral MOU with Jordan securities commission