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Document Library

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

Found 1643 results. Displaying page 93 of 110

  5. 1 December 2014

    FMA's review of market disclosures

    This report was first published by the Financial Markets Authority (FMA) in June 2013 and discusses disclosure obligations under the SMA. These disclosure obligations now fall under the FMC Act and are largely unchanged, therefore the findings and observations contained in this report remain relevant.

  7. 1 December 2014

    Review of market disclosures

    These disclosure obligations now fall under the FMC Act and are largely unchanged, therefore the findings and observations contained in this report remain relevant.

  10. 1 December 2014

    Exemptions: Financial Advisers Act 2008 guidance note

    This guidance note explains the approach of the Financial Markets Authority (the FMA) to granting exemptions under the Financial Advisers Act 2008. It is intended to provide answers to commonly asked questions in relation to exemptions and to provide information to potential applicants on the process for making an application.