Document Library

Found 1772 results. Displaying page 25 of 119

1. 23 August 2023

   Regulatory returns questions for licensed MIS

   Annual regulatory return information to be provided by licensed MIS providers to the FMA.

2. 22 August 2023

   Cigna - Settlement Agreement

   The Parties have agreed to settle all matters that were the subject of the Investigation on the terms set out in this Agreement.

3. 21 August 2023

   Exemption Notice - Financial Markets Conduct (BGC Partners (Australia) Pty Limited)

   Financial Markets Conduct (BGC Partners (Australia) Pty Limited) Exemption Notice 2022

4. 17 August 2023

   AML/CFT Explanatory Note: Electronic Identity Verification Guideline

   This Explanatory Note: Electronic Identity verification Guideline replaces the previous Explanatory Note that was published by the Anti-Money Laundering and Countering Financing of Terrorism (AML/CFT) Supervisors in December 2017.

5. 11 August 2023

   Enprise Group Limited - Warning

   FMA warns Enprise Group for failing to keep proper accounting records under FMC Act obligations, citing issues with asset impairment and tax loss recognition.

6. 8 August 2023

   KiwiSaver Default Instrument of Appointment Exclusions

   KiwiSaver Default Instrument of Appointment Exclusions

7. 7 August 2023

   Exemption notice - Financial Markets Conduct Kuaotunu Camp Ground 2008 Limited

   This notice is the Financial Markets Conduct (Kuaotunu Camp Ground (2008) Limited) Exemption Notice 2023.

8. 3 August 2023

   Kiwisaver Default Instrument of Appointment Exclusions

   KiwiSaver Default Instrument of Appointment Exclusions- weapons and devices, fossil fuels

9. 2 August 2023

   Class legislative notices summary 2023

   This is a summary of the Financial Markets Conduct Act class legislative notices we have granted (and are in force) as at 1 June 2023. It includes exemptions, designations, frameworks or methodologies, and public accountability notices.

10. 31 July 2023

    FMA Priorities 2023-2024

    FMA Outlook 2023/24

11. 31 July 2023

    Standard 13 Participant default rules and procedures

    Standard 13 Participant default rules and procedures for designated Financial Market Infrastructures (FMIs).

12. 31 July 2023

    Standard 12 Exchange of value settlement systems

    Standard 12 Exchange of value settlement systems for designated Financial Market Infrastructures (FMIs).

13. 31 July 2023

    Standard 11 Central securities depositories

    Standard 11 Central securities depositories for designated Financial Market Infrastructures (FMIs).

14. 31 July 2023

    Standard 10 Physical deliveries

    Standard 10 Physical deliveries for designated Financial Market Infrastructures (FMIs).

15. 31 July 2023

    Standard 1 Legal Basis

    Standard 1 Legal basis for designated Financial Market Infrastructures (FMIs).