Document Library

Found 1757 results. Displaying page 66 of 118

1. 9 April 2019

   Mark Talbot - Enforceable Undertaking

   Mr Talbot has offered this enforceable undertaking following an investigation made by the FMA into his trading of shares in VMob Group Limited (VMob). 3 April 2019.

2. 9 April 2019

   Mark Stephen Talbot - Sentencing Notes

   High Court Sentencing remarks in the case against Mark Stephen Talbot, 9 April 2019.

3. 5 April 2019

   Exemption Notice - OnePath Custodians Pty Limited

   Financial Markets Conduct Exemption Notice 2019: OnePath Custodians Pty Limited.

4. 4 April 2019

   Financial Markets Conduct - NZX Listing Rules Approval of Rule Change Notice

   This notice allows NZX to replace the NZX Issuer Rules, dated 1 January 2016, with the corresponding amended rules with effect from 1 January 2020 or as otherwise determined by NZX in accordance with the Participant Rule 1.4.1

5. 3 April 2019

   Exemption Notice - Financial Markets Conduct Harbour Investment Funds

   Financial Markets Conduct (Harbour Investment Funds) Exemption Notice 2019

6. 1 April 2019

   AML/CFT Annual Monitoring Report 2018

   This report summarises our monitoring activities from 1 July 2016 to 30 June 2018, to help reporting entities better understand our expectations, and what they can do to improve their systems and processes to comply with the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 and its supporting regulations.

7. 31 March 2019

   31 March 2019 Disclose Register KiwiSaver fund updates

   This document is the Disclose Register for KiwiSaver fund updates for 31 March 2019

8. 31 March 2019

   31 March 2019 Disclose Register MIS fund updates

   This document is the Disclose Register for MIS fund updates for 31 March 2019

9. 28 March 2019

   Richard Owen Dey - Notice of decision NZICA

   NZICA decision on Richard Owen Dey outlines 2019 audit ethics breaches, including partner rotation and documentation failures.

10. 27 March 2019

    Michael Derek Wood - notice of decision NZICA

    NZICA decision on Michael Derek Wood details 2019 ethics breach in audit review role, resulting in reprimand & cost order.

11. 22 March 2019

    Complaints against AFAs and RFAs - OIA response

    OIA, dated 22/03/2019, regarding complaints made to the FMA about Authorised Financial Advisers and Registered Financial Advisers over the last five years

12. 22 March 2019

    Spending on advertising - OIA response

    OIA Request regarding spending on advertising

13. 14 March 2019

    Bublitz First Trial costs - OIA response

    OIA response, dated 14 March 2019, regarding the cost breakdown of the Bublitz First Trial

14. 5 March 2019

    ANZ Bank New Zealand Limited - Appeal Judgment

    Judgment of the Court of Appeal in the case against ANZ Bank New Zealand Limited, 5 March 2019.

15. 28 February 2019

    ASX 24 Obligations Review 2018

    The FMA is required to report at least once every two years on how well ASX 24 is meeting its licensed market operator obligations.The ASX 24 Obigations Review 2018 covers the period 1 July 2016 to 30 June 2018.