Document Library

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

Keywords

Date Published

Sort by:

Consultation Paper Employee Share Schemes

This consultation is for companies, offerors, legal advisers. It aims to seek feedback on possible exemptions for employee share purchase schemes

IPOs under the Financial Markets Conduct Act 2013 research report

Research reports for IPOs under the Financial Markets Conduct Act 2013

Exemption Notice - Securities Act Lloyds Banking Group 2015

Securities Act Exemption Notice 2015: Lloyds Banking Group.

Exemption notice - Financial Reporting Act Lloyds Banking Group

Financial Reporting Act (Lloyds Banking Group) Exemption Notice 2015

First Mortgage and First Mortgage PIE Trust Waiver Notice

First Mortgage and First Mortgage PIE Trust - Waiver Notice under section 68 of the Financial Markets Conduct Act 2013 PDS consideration unnecessary

PTT Ltd - Judgment

The High Court Judgment in the case against PTT Ltd 4 September 2015.

Exemption Notice 2015 - Securities Act Augusta Funds Management Limited Sherbrooke Road Partnership

Securities Act Augusta Funds Management Limited Sherbrooke Road Partnership Exemption Notice 2015

Exemption Notice - Financial Markets Conduct CBL Corporation Limited and CBLNZ Limited

Financial Markets Conduct (CBL Corporation Limited and CBLNZ Limited) Exemption Notice 2016

Consultation paper auditor regulation act amendmment

FMA consultation on updates to auditor licensing and firm registration standards, reflecting changes to the Auditor Regulation Act and related terminology.

Consultation paper scrip offers in takeovers

FMA consultation on whether to grant a class exemption for scrip offers in takeovers under the FMC Act, focusing on disclosure and market impact.

Guide to market misconduct risks for MIS managers

This information sheet is to help Managed Investment Scheme (MIS) managers understand how to manage market misconduct risks in trading activity.

Expectations for and experiences of retirement - research report

This survey looks at older New Zealanders’ expectations for and experiences of retirement. Research was conducted among those aged 50 years and over, and includes the views of those who are nearing retirement and those who have already retired. The results of the survey were published in 2015.

Investigations and Enforcement Report 2015

This report highlights the key themes and issues in our investigation and enforcement activity in the year to 30 June 2015. It is intended to provide insight into the work we do, and help businesses and professionals better understand the behaviour we expect.

Expense disclosure CE Gifts 2015 Jan Jun

CE gifts and hospitality disclosure for the period 1 January 2015 - 30 June 2015

Expense disclosure CE Hospitality 2015 Jan Jun

CE expenses disclosure for the period 1 January 2015 - 30 June 2015

1
99
100
101 (current)
102
103
124

Looking for information?

Document Library