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Consultation licensing DIMS providers

Consultation: Draft minimum standards and licence conditions for Discretionary Investment Management Service (DIMS) providers.

Exemption Notice 2013 - Securities Act (Pegasus Health Membership Limited and Pegasus Health Nurse Membership Limited)

Securities Act (Pegasus Health Membership Limited and Pegasus Health Nurse Membership Limited) Exemption Notice 2013

Consultation licensing peer to peer lending

Consultation: Draft minimum standards and licence conditions for peer-to-peer lending service providers (P2P).

Exemption Notice 2013 - Securities Act (OnePath Custodians Pty Limited)

Securities Act (OnePath Custodians Pty Limited) Exemption Notice 2013

Exemption Notice - Financial Reporting Act (OnePath Custodians Pty Limited)

Financial Reporting Act (OnePath Custodians Pty Limited) Exemption Notice 2013

NZX Participant Rules - Approval of market rules notice 2013

This notices comes into force on 11 Nov 2013. This notice allows for NZX to replace the NZX Participant Rules dated 24 Aug 2012 with the NZX Participant Rules dated 8 Nov 2013

A Guide to the Financial Markets Conduct Act 2013 Reforms

This Guide explains the purposes of the Financial Markets Conduct (FMC) Act 2013 and how it fits in with other financial markets reforms. There is also a big picture view of the main reforms included in the FMC Act.

Exemption Notice 2013 - Securities Markets Act (Meridian Energy Limited Substantial Security Holder)

Securities Markets Act (Meridian Energy Limited Substantial Security Holder) Exemption Notice 2013

Main board/debt market listing rules - Approval of market rules notice 2013

This notice allows for NZX to replace the NZSX/NZDX listing rules dated 5 Oct 2012 with the board/debt market listing rules dated 30 Oct 2013

KiwiSaver Report 2013

The report details the principal matters transacted under the Act during the year ended 30 June 2013, and contains the sixth annual summary of the statistical returns, required to be lodged by KiwiSaver schemes under section 125 of the Act.

Monitoring of non-GAAP disclosures response to guidance note

In this review we assessed the market’s response to the guidance note to gain an early indication of whether disclosures around non-GAAP (generally accepted accounting principles) financial information are improving.

NZ Council of Victim Support Groups - MOU

MOU concerning consultation, cooperation and the exchange of information between the FMA and New Zealand Council of Victim Support Groups

Trustees Executors submission

Submission from Trustees Executors in response to the Consultation paper: practical implications of reporting entities transacting with other reporting entities

Westpac submission

Submission from Westpac New Zealand Limited in response to the Consultation Paper: Practical implications of reporting entities transacting with other reporting entities, 8 Aug 2013

AML/CFT - wire transfers fact sheet

Understand AML/CFT obligations for wire transfers in NZ, including due diligence rules, FATF compliance, and reporting duties.

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