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FMA consultation on potential exemptions to investor warnings and acknowledgements under the $750K wholesale investor exclusion in NZ markets.
Securities Act (NZX Limited) Exemption Notice 2015
Settlement Agreement with the Directors' of Hanover Finance Ltd (HFL), United Finance Ltd (UFL) and Hanover Capital Limited (HCL), 28 April 2015.
FMA responses to feedback on a proposed suitability condition for derivatives issuers, addressing investor understanding, compliance scope, and clarity.
Financial Reporting Act (Deutsche Bank Aktiengesellschaft) Exemption Notice 2015
FMA consults on tiered exemptions from financial reporting for small and medium DIMS providers to reduce costs while maintaining oversight.
FMA seminar on contingency DIMS explains discretionary services, licensing exemptions, compliance duties, and client agreement rules.
Financial Markets Conduct (South32 Limited) Exemption Notice 2015
FMA consultation on proposed exemptions under the FMC Act 2013, covering foreign offers, charities, co-operatives, DIMS, and pre-payment schemes.
Securities Act (Arbor Management Limited) Exemption Notice 2015
This document explains Part 5C of the Reserve Bank of New Zealand Act 1989 and the roles and policies of the Reserve Bank and the Financial Markets Authority in relation to the designation and oversight of designated settlement systems.
This information sheet outlines the requirements relating to issuers’ registers of regulated products under Subpart 4 of Part 4 of the Financial Markets Conduct Act 2013 (FMC Act). It also sets out how the FMA will exercise its discretion to authorise an issuer to decline a request for a copy of a register under section 224 of the FMC Act.
This information sheet outlines the duties and responsibilities under the Financial Markets Conduct Act 2013 (FMC Act) for custodians of registered managed investment schemes.
This information sheet outlines the reporting obligations of a Managed Investment Scheme (MIS) manager if there has been a limit break under its Statement of Investment Policy and Objectives (SIPO) under Part 4 of the Financial Markets Conduct Act 2013 (FMC Act).
This information sheet outlines the rules on related-party transactions that apply to managed investment schemes under the Financial Markets Conduct Act 2013 (FMC Act).