Document Library

Exemption Notice 2015 - Financial Markets Conduct (The Warehouse Group Limited)

Financial Markets Conduct (The Warehouse Group Limited) Exemption Notice 2015

Consultation: Investor acknowledgement and warning for the $750,000 minimum investment wholesale investor exclusion

FMA consultation on potential exemptions to investor warnings and acknowledgements under the $750K wholesale investor exclusion in NZ markets.

Exemption Notice 2015 - Securities Act (NZX Limited)

Securities Act (NZX Limited) Exemption Notice 2015

Hanover - Settlement Agreement

Settlement Agreement with the Directors' of Hanover Finance Ltd (HFL), United Finance Ltd (UFL) and Hanover Capital Limited (HCL), 28 April 2015.

Response to Submissions Derivatives Issuer Standard Condition: Suitability of Products for Clients

FMA responses to feedback on a proposed suitability condition for derivatives issuers, addressing investor understanding, compliance scope, and clarity.

Exemption Notice 2015 - Financial Reporting Act (Deutsche Bank Aktiengesellschaft)

Financial Reporting Act (Deutsche Bank Aktiengesellschaft) Exemption Notice 2015

Proposed financial reporting exemptions for small and medium sized DIMS providers consultation paper

FMA consults on tiered exemptions from financial reporting for small and medium DIMS providers to reduce costs while maintaining oversight.

Contingency DIMS seminar presentation

FMA seminar on contingency DIMS explains discretionary services, licensing exemptions, compliance duties, and client agreement rules.

Exemption Notice - Financial Markets Conduct South32 Limited

Financial Markets Conduct (South32 Limited) Exemption Notice 2015

Financial Markets Conduct Act exemptions consultation paper

FMA consultation on proposed exemptions under the FMC Act 2013, covering foreign offers, charities, co-operatives, DIMS, and pre-payment schemes.

Exemption Notice 2015 - Securities Act (Arbor Management Limited)

Securities Act (Arbor Management Limited) Exemption Notice 2015

RBNZ designation and oversight of designated settlement system

This document explains Part 5C of the Reserve Bank of New Zealand Act 1989 and the roles and policies of the Reserve Bank and the Financial Markets Authority in relation to the designation and oversight of designated settlement systems.

Issuers registers of regulated products and the FMAs discretion under section 224

This information sheet outlines the requirements relating to issuers’ registers of regulated products under Subpart 4 of Part 4 of the Financial Markets Conduct Act 2013 (FMC Act). It also sets out how the FMA will exercise its discretion to authorise an issuer to decline a request for a copy of a register under section 224 of the FMC Act.

Custodians of managed investment schemes information sheet

This information sheet outlines the duties and responsibilities under the Financial Markets Conduct Act 2013 (FMC Act) for custodians of registered managed investment schemes.

Reporting SIPO limit breaks Information sheet

This information sheet outlines the reporting obligations of a Managed Investment Scheme (MIS) manager if there has been a limit break under its Statement of Investment Policy and Objectives (SIPO) under Part 4 of the Financial Markets Conduct Act 2013 (FMC Act).

Looking for information?

Document Library