Document Library

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

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Found 1758 results. Displaying page 68 of 118

21 December 2018

Exemption Notice - Financial Markets Conduct Invion Limited

Financial Markets Conduct (Invion Limited) Exemption Notice 2018
19 December 2018

NZX NZ Market Disciplinary Tribunal Rules Approval of Rule Changes 2018

NZX NZ Market Disciplinary Tribunal Rules Approval of Rule Changes 2018
19 December 2018

NZX Participant Rules - Approval of Changes Notice 2018

FMA approves 2018 NZX Participant Rules changes, effective 1 July 2019 or later as set by NZX under Rule 1.4 of the Participant Rules.
19 December 2018

NZX Derivatives Market Rules - Approval of Rule Changes 2018

FMA approves 2018 rule changes to NZX Derivatives Market Rules under the FMC Act, effective 20 Dec 2018, with new listing rules from Jan 2019.
17 December 2018

Workplace sexual harassment survey - OIA response

OIA survey response regarding workplace sexual harassment
17 December 2018

ANZ Bank New Zealand Limited - Judgment

Judgment in the Court of Appeal in the case against ANZ Bank New Zealand Limited, 17 December 2018.
17 December 2018

FMA Board Conflicts Policy

FMA Board Conflicts Policy defines member interest rules, disclosure duties, and procedures to manage conflicts in decision-making.
15 December 2018

Conduct and culture review remediation categories - OIA response

Conduct and culture review of banks remediation categories OIA response on 15 December 2018
12 December 2018

Exemption Notice - Todd Family Office Limited Financial Reporting

Financial Markets Conduct Exemption Notice 2018: Todd Family Office Limited Financial Reporting.
11 December 2018

MIS manager valuation and pricing practices

This information sheet sets out our recommendations following a review of the pricing and valuation practices of Managed Investment Scheme (MIS) managers. It will be of particular interest to MIS managers and their supervisors.
4 December 2018

CPA Australia accredited body report 2018

This report contains the outcome of our assessment of CPA Australia for the period 1 July 2017 to 30 June 2018.
4 December 2018

NZICA accredited body report 2018

This report contains the outcome of our assessment of NZ Institute of Chartered Accountants (NZICA) for the period 1 July 2017 to 30 June 2018.
30 November 2018

Exemption notice - AMP New Zealand Personal Superannuation Fund

Financial Markets Conduct (AMP New Zealand Personal Superannuation Fund) Exemption Notice 2018
30 November 2018

Wynyard Group Limited - Investigation report

FMA report reviews Wynyard Group's 2016 collapse, focusing on continuous disclosure & fair dealing compliance breaches.
26 November 2018

Exemption Notice - Financial Markets Conduct i Select Superannuation Scheme 2018

Financial Markets Conduct (i-Select Superannuation Scheme) Exemption Notice 2018