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

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Exemption Notice 2014 - Securities Act (Scales Corporation Limited and George H Investments Limited)

Securities Act (Scales Corporation Limited and George H Investments Limited) Exemption Notice 2014

Broker Obligations guidance note

The focus of this guidance is on custody of client money and client property, and the key obligation of brokers to hold client money and client property on trust.

consultation paper financial reporting regulatory policy for financial reporting designations and exemptions

Expense disclosure CE gifts 2013 Jul Dec

CE gifts and hospitality disclosure for the period 1 July 2013 - 31 December 2013

Expense disclosure CE hospitality 2013 jul dec

CE expenses disclosure for the period 1 July 2013 - 31 December 2013

Expense disclosure CE 2013 jul dec

CE expenses disclosure for the period 1 July 2013 - 31 December 2013

Expense disclosure CE travel 2013 jul dec

CE expenses disclosure for the period 1 July 2013 - 31 December 2013

2014 Letter of Expectations

The letter of expectation 2014 is delivered by the Minister to the FMA to formalise expectation of the FMA as a Crown entity.

Exemption Notice 2013 - Financial Reporting Act (Li & Fung Limited)

Financial Reporting Act (Li & Fung Limited) Exemption Notice 2013

National Bank of Slovakia - MOU

MOU concerning consultation, cooperation and the exchange of information related to the supervision of AIFMD entities between the FMA and the National Bank of Slovakia

Exemption Notice 2013 - Securities Act (Tauranga Bridge Marina)

Securities Act (Tauranga Bridge Marina) Exemption Notice 2013

Exemption Notice 2013 Securities Act (Westhaven Marina Limited)

Securities Act (Westhaven Marina Limited) Exemption Notice 2013

nzica annual report on accredited bodies 2013

Accredited Body Report – New Zealand Institute of Chartered Accountants For the year ended 30 June 2013

Financial Conduct Authority United Kingdom - MOU

MOU concerning consultation, cooperation and the exchange of information related to the supervision of AIFMD entities between the FMA and the Financial Conduct Authority United Kingdom

Finanstilsynet Norway - MOU

MOU concerning consultation, cooperation and the exchange of information related to the supervision of AIFMD entities between the FMA and the Finanstilsynet Norway

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