Document Library

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

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Found 1827 results. Displaying page 95 of 122

2 May 2016

Craigs - Settlement Agreement

Craigs and FMA Settlement agreement,following an investigation into potential breaches of Anti-Money Laundering and Countering Financing of Terrorism Act 2009 in relation to Craigs. 2 May 2016.
1 May 2016

Exemption notice - Craigs DIMS

Financial Markets Conduct Exemption Notice 2016: Craigs Investment Partners Limited Contingency DIMS.
29 April 2016

Exemption Notice - Financial Markets Conduct Genworth Financial Mortgage Insurance Pty Limited

Financial Markets Conduct (Glenworth Financial Mortgage Insurance Pty Limited) Exemption Notice 2016
22 April 2016

Exemption notice - Financial Advisers Merrill Lynch, Pierce, Fenner and Smith Incorporated.

Financial Advisers Exemption Notice 2016: Merrill Lynch, Pierce, Fenner & Smith Incorporated.
22 April 2016

Exemption Notice - Securities Act New Zealand Racing Board

Securities Act Exemption Notice 2016: New Zealand Racing Board.
18 April 2016

Exemption notice - Heartland Bank Limited Share Sale Plan

Financial Markets Conduct Exemption Notice 2016: Heartland Bank Limited Share Sale Plan.
7 April 2016

Consultation Paper Exemption for small offers of co operative shares

FMA consults on proposed FMC Act exemptions for certain co-operative share offers, seeking views from issuers, investors, and industry bodies.
4 April 2016

Exemption Notice 2016 - Financial Markets Conduct Todd Family Office Limited Financial Reporting

Financial Markets Conduct Exemption Notice 2016: Todd Family Office Limited Financial Reporting.
31 March 2016

31 March 2016 Disclose Register Kiwisaver fund updates

This document is the Disclose Register for KiwiSaver fund updates for 31 March 2016
25 March 2016

Exemption notice - Financial Markets Conduct Hallmark Life Insurance Company

Financial Markets Conduct Exemption Notice 2016: Hallmark Life Insurance Company Limited.
24 March 2016

Exemption Notice 2016 - Financial Markets Conduct AIA International Limited

Financial Markets Conduct Exemption Notice 2016: AIA International Limited.
24 March 2016

Exemption notice - Financial Markets Conduct QBE Group

Financial Markets Conduct Exemption Notice 2016: QBE Group.
22 March 2016

Response to submissions proposed variations to standard conditions of market services licences

Summarises key themes from 18 submissions on FMA’s 2016 consultation to vary standard conditions for market service licences.
18 March 2016

Exemption Notice 2016 - Spark New Zealand Limited Group

Financial Markets Conduct Exemption Notice 2016: Spark New Zealand Limited Group.
17 March 2016

Exemption Notice 2016 - Financial Markets Conduct Diligent Corporation

Financial Markets Conduct Exemption Notice 2016: Diligent Corporation.