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This report highlights the key themes and issues in our investigation and enforcement activity in the year to 30 June 2015. It is intended to provide insight into the work we do, and help businesses and professionals better understand the behaviour we expect.
CE gifts and hospitality disclosure for the period 1 January 2015 - 30 June 2015
CE expenses disclosure for the period 1 January 2015 - 30 June 2015
CE expenses disclosure for the period 1 January 2015 - 30 June 2015
Financial Markets Conduct Direct FX Limited Exemption Notice 2015
Financial Markets Conduct (Todd Family Office Limited Transaction Reporting) Exemption Notice 2015.
FMA exempts Courtenay Nominees from cash asset reporting under the FMCA, subject to conditions on valuation and disclosure by Todd Family Office.
Receivers' First Report into the Receivership of Arena Capital Limited, 24 July 2015.
Financial Markets Conduct Act (Takeovers Panel) Exemption Notice 2015.
Enforceable Undertaking by David Hobbs and Jacqueline Hobbs, July 2015.
MOU concerning consultation, cooperation and the exchange of information between the FMA and the Electricity Authority
Financial Markets Conduct (Southern Pastures Management Limited) Exemption Notice 2015
In December 2014 we consulted on guidance for calculating risk indicators. After consultations, feedback and subsequent discussions with businesses who have been involved in producing draft product disclosure statements, we believe it would be useful to extend that guidance note to cover additional related matters.
The annual report is required by section 60 of New Zealand’s Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (‘the Act’). The annual report applies to activities that are covered by the Act.
On 25 May 2015 the FMA granted a waiver of part of the FMA levy to Southern Cross Benefits Limited (SCBL).