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Exemption notice - Financial Markets Conduct Merrill Lynch Pierce Fenner Smith Incorporated

Financial Markets Conduct Merrill Lynch Pierce Fenner Smith Incorporated Exemption Notice 2021

Exemption notice - EML Payment Solutions

EML Payment Solutions Exemption Notice 2021

2021/22 Letter of Expectations from the Minister

Consultation paper Proposed class exemption for restricted schemes

Consultation paper: Proposed class exemption for restricted schemes from certain disclosure and reporting obligations.

Proposed exemption restricted schemes feedback form

Consultation feedback form: restricted schemes

Financial Markets Conduct (Australian Licensees) Exemption Notice 2020 guidance note

This guidance note 2020 provides an overview of the exemption notice relating to Australian advice businesses giving advice to New Zealand retail clients, and the circumstances in which a business may be able to rely on it.

Consultation Recognition of Australian adviser qualifications submissions report

The following submissions were received in response to our consultation on recognition of Australian adviser qualifications.

Exemption notice - Allianz Australia Insurance Limited

Allianz Australia Insurance Limited Exemption Notice 2021.

Exemption notice - Financial Markets Conduct ICAP Brokers Pty Limited and ICAP New Zealand Limited

Financial Markets Conduct (ICAP Brokers Pty Limited and ICAP New Zealand Limited) Exemption Notice 2021

Exemption notice - Financial Markets Conduct Insider Trading Livestock Improvement Corporation Limited

Financial Markets Conduct (Insider Trading - Livestock Improvement Corporation Limited) Exemption Notice 2021

NZX Derivatives Market Rules Approval of Rule Change Notice Feb 2021

Pursuant to section 331 of the Act, the FMA approves changes to the NZX Derivatives Market Rules in accordance with the proposed amendments provided for approval by NZX to the FMA on 22 December 2020.

ANZ Bank New Zealand Limited - High Court Judgment

High Court Judgment on FMA’s 2020 civil case against ANZ NZ for alleged breaches of the Financial Markets Conduct Act 2013.

Market Operator Obligations Targeted Review NZX

As a licensed market operator, NZX is required to meet certain general obligations imposed under section 314 of the Financial Markets Conduct Act 2013 (FMC Act). One of those obligations requires NZX to have sufficient technological resources to operate its licensed markets properly. This includes ensuring, to the extent reasonably practicable, the availability, security, capacity and maintenance of its trading platforms, settlement systems, internal market monitoring systems and other related systems.

ASX24 Obligations Review 2020

Australian Securities Exchange Limited (ASX 24) is licensed to operate the ASX 24 derivatives market (derivatives market) in New Zealand. The FMA is required to report at least once every two years1 on how well ASX 24 is meeting its licensed market operator obligations. This review covers the period 1 July 2018 to 30 June 2020. T

Review of Wholesale Investor Exclusion 750000 Minimum Investment Exemption feedback form

Feedback form: consultation - review of wholesale investor exclusion

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