Document Library

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

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Exemption notice - Clearwater Golf Club Limited

Financial Markets Conduct (Clearwater Golf Club Limited) Exemption Notice 2019

Application Form - Supervisors Licence TRU1.1 variation

FMA TRU1.1 Variation form for modifying an existing supervisors licence, including categories, conditions, or licence terms.

5 Most Expensive Trials - OIA response

OIA response, dated 14 May 2019, regarding the FMA’s five most expensive trials, what they involved and a summary of costs

Financial reporting reviews 2019

This statement outlines our approach to financial reporting reviews, and highlights selected areas of interest for 2019/20 reviews.

Morgan De Vere Corporate Finance Limited - Court decision

District Court decision in the case against Morgan De Vere Corporate Finance Limited, 1 May 2019.

Financial Exemption Notice 2015 - Markets Conduct (Chubb Insurance Company of Australia Limited)

Financial Markets Conduct (Chubb Insurance Company of Australia Limited) Exemption Notice 2015

Exemption Notice - Financial Markets Conduct Goldman Sachs

Financial Markets Conduct Exemption Notice 2019: Goldman Sachs.

Exemption Notice - RIS Group Limited

Financial Markets Conduct Exemption Notice 2019: RIS Group Limited.

2019 Annual Letter of expectations

Annual letter of expectations from the Minister April 2019

ANZ Bank New Zealand Limited - Supreme Court Judgment

Supreme Court Judgment in the case against ANZ Bank New Zealand Limited, 12 April 2019.

Mark Stephen Talbot - Sentencing Notes

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

Exemption Notice - OnePath Custodians Pty Limited

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

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

Exemption Notice - Financial Markets Conduct Harbour Investment Funds

Financial Markets Conduct (Harbour Investment Funds) Exemption Notice 2019

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