Document Library | Financial Markets Authority

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

Keywords

Date Published

Sort by:

Exemption Notice 2014 - Financial Reporting Act (HSBC)

Financial Reporting Act (HSBC) Exemption Notice 2014

Governance and accountability framework for restricted schemes and their trustees information sheet

The Financial Markets Conduct (FMC) Act 2013 changes the governance and accountability framework for financial products. Find out what these changes mean for restricted schemes and their trustees.

Governance and accountability framework for debt issuers and their licensed supervisors

The Financial Markets Conduct Act 2013 changes the governance and accountability framework for financial products. Find out what these changes mean for debt issuers and their licensed supervisors.

Exemption Notice 2014 - Financial Reporting Act (Diligent Board Member Services, Inc.)

Financial Reporting Act (Diligent Board Member Services, Inc.) Exemption Notice 2014

Exemption Notice 2014 - Securities Act (Diligent Board Member Services Inc.)

Securities Act (Diligent Board Member Services Inc.) Exemption Notice 2014

FMA’s new role as regulator of conduct

From April 2014, FMA became the main regulator of conduct for financial products and services, replacing the Commerce Commission.

Commerce Commission - MOU

MOU concerning consultation, cooperation and the exchange of information between the FMA and the Commerce Commission

Exemption Notice 2014 - Futures Contracts (J.P. Morgan Securities LLC)

Futures Contracts (J.P. Morgan Securities LLC) Exemption Notice 2014

Exemption Notice 2014 - Securities Act (Genesis Energy Limited Crown share offer)

Securities Act (Genesis Energy Limited Crown share offer) Exemption Notice 2014

CE expense disclosure - hospitality - 2014 Jan-Feb

CE hospitality expense disclosure, for the period Jan-Feb 2014 for Liam Mason

KiwiSaver schemes monitoring investment risk guidance

This Guidance Note is designed to assist Trustees of retail non-restricted KiwiSaver schemes (Trustees), in performing their functions effectively.

Expense disclosure CE travel 2014 jan feb

CE expenses disclosure for the period 1 January 2014 - 3 February 2014

Expense disclosure CE other 2014 jan feb

CE expenses disclosure for the period 1 January 2014 - 3 February 2014

Exemption Amendment Notice 2014 - Securities Act (Auckland Transport)

Securities Act (Auckland Transport) Exemption Amendment Notice 2014

ASX Ltd Financial Product Market Licence 2014

New Zealand Financial Product Market Licence (Australian Securities Exchange Limited) 2014

1
110
111
112 (current)
113
114
124