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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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Consultation Proposed Guidance Note KiwiSaver Performance Fees Kensington Swan submission

Response to consultation from Kensington Swan: KiwiSaver performance fees draft guidance note

Exemption Notice 2011 - Securities Act Auckland Transport

Securities Act Auckland Transport Exemption Notice 2011

Exemption Notice 2011 - Securities Act Fairview Country Club

Securities Act Fairview Country Club Exemption Notice 2011

Exemption Notice 2011 - Securities Act Forest Enterprises Limited Exemption Notice

Securities Act (Forest Enterprises Limited) Exemption Notice 2011

Securities commission Annual Report 2011

The annual report as published by the Securities Commission in 2011.

KiwiSaver Report 2011

The report details the principal matters transacted under the Act during the year ended 30 June 2011, and contains the sixth annual summary of the statistical returns, required to be lodged by KiwiSaver schemes under section 125 of the Act.

Exemption Notice 2011 - Securities Act PSIS Limited Exemption Notice 2011

Securities Act (PSIS Limited) Exemption Notice 2011

Expense disclosure CE 2011

CE travel expenses for the period 1 May 2011 - 30 June 2011

Exemption Notice 2011 - Securities Act Apata Limited Exemption Notice 2011

Securities Act (Apata Limited) Exemption Notice 2011

NZX Obligations Review 2011

Under the FMC Act, we are required to review at least annually how well a licensed market operator is meeting its obligations, and to publish a written report. Broadly, these relate to the areas of operation that are regulatory in nature. Publishing the report provides transparency into our oversight of NZX. This report was published in 2011.

Exemption Notice 2011 Financial Reporting Act OceanaGold Corporation Exemption 2011

Financial Reporting Act (OceanaGold Corporation) Exemption Notice 2011

Exemption Notice 2011 - Securities Act AIA Group Limited

Securities Act (AIA Group Limited) Exemption Notice 2011

Securities Commission Annual Report 2010

The Securities Commission Annual Report published in 2010.

Exemption Notice - Securities Act Fletcher Building Limited and Fletcher Building Industries Limited

Securities Act Exemption Notice 2011: Fletcher Building Limited and Fletcher Building Industries Limited.

Good character and criminal convictions guidance note

The guidance note is intended to answer some of the queries the Commission has received regarding the assessment of good character, as well as provide further guidance on the information applicants need to provide to the Commission in relation to criminal convictions.

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