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Justin William Prain and Mark Joseph Schroeder - Appeal Judgment

Judgment in the Court of Appeal in the case against Justin William Prain and Mark Joseph Schroeder 16 June 2016.

aml cft annual report user guide 2016

This user guide can be used as a reference for AML CFT reporting entities when completing their annual report

Replacing life insurance who benefits

NZX Obligations Review 2016

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 2016.

UDC Finance Limited Waiver Notice - consideration complete / reduction of waiting period

FMA waiver notice for UDC Finance under FMC Act section 68 confirms early PDS consideration and reduced waiting period as of June 2016.

Class exemptions- recognising existing regulation of overseas issuers

FMA approves class exemptions that recognise existing regulation of overseas issuers

Exemption notice - Financial Markets Conduct Investore Property Limited

Financial Markets Conduct (Ivestore Property Limited) Exemption Notice 2016

Financial Markets Conduct - Tonga Development Bank Ave Paanga Pau Vouchers Designation Notice 2016

This notice declares that the Ave Pa'anga Pau Vouchers issued by Tonga Development Bank are not a financial product for the purposes of the FMC Act 2013.

Exemption Notice - Financial Markets Conduct Michael Hill Group

Financial Markets Conduct (Michael Hill Group) Exemption Notice 2016

Exemption Notice - Financial Markets Conduct Trustpower Group

Financial Markets Conduct (Trustpower Group) Exemption Notice 2016

Eligibility criteria - Crowdfunding services for property investments

FMA guide for property crowdfunding services on meeting eligibility criteria, including non-association and investor control standards.

Mark Andrew Turnock - Judgment

High Court Judgment in the case against Mark Andrew Turnock 2 June 2016.

Factors influencing insurance policy survival

In our study of what factors influence policy survival, we used the Cox proportional hazard model to identify key factors. We found that commission structure was consistently the most significant factor influencing policy survival rates and, within the commission structure, clawback was a major factor.

Investor Confidence Research 2016

This is the fourth year that FMA has carried out investor research measuring attitudes towards, and investment in New Zealand’s financial markets.

Fee Disclosure For Managed Funds guidance

This guidance helps managers and supervisors understand how fees should be disclosed in Product Disclosure Statements, fund updates and, in respect of KiwiSaver schemes, confirmation information. It includes guidance on the classification and disclosure of performance-based fees, management and administration charges, underlying fund charges, and how to use third-party information.

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