Document Library

Financial Markets Conduct Act (NZX Markets - Standard Settlement) Approval of Market Rules Notice 2015

FMA approval of NZX market rules under FMC Act 2013 for standard settlement across debt, equity, and alternative markets.

Consultation Class designation of shares to MIPs in an MIS

FMA consults on class designations treating shares as managed investment products, seeking feedback on regulatory impact and implications.

NZICA accredited bodies report 2015

This report contains the outcome of our assessment of the New Zealand Institute of Chartered Accountants (NZICA) for the period 1 July 2014 to 30 June 2015.

CPA Australia accredited body report 2015

The Auditor Regulation Act 2011 (the Act) requires the FMA to monitor the audit regulatory systems of accredited bodies to ensure that these systems and processes are adequate and effective. This report contains the outcome of our monitoring assessment of CPA Australia for the period 1 July 2014 to 30 June 2015.

151207 Property Syndicate Checklist

This checklist explains some of the things to consider before you invest in a property syndicate. You should be able to find answers to these questions in the documents you are given that explain the investment.

Exemption Notice - Financial Markets Conduct Nitro Corporation Pty Ltd

Financial Markets Conduct (Nitro Corporation Pty Ltd) Exemption Notice 2015

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 2015

ASB Bank Limited Waiver Notice

ASB Bank Limited Waiver Notice under section 68 of the Financial Markets Conduct Act 2013 PDS consideration unnecessary

KVB Kunlun New Zealand Limited Waiver Notice

KVB Kunlun New Zealand Limited Waiver Notice under section 68 of the Financial Markets Conduct Act 2013 PDS consideration unnecessary

ARA Prescribed Minimum Standards and Conditions for Licensed Auditors and registered audit firms

This notice is the Auditor Regulation Act (prescribed minimum standards for Licensed Auditors and Registered Audit firms) amendment notice 2015.

Financial Markets Conduct Act - NZX Participant Rules Approval of Market Rules Notice 2015

This notice allows for NZX to replace the Participant Rules dated 16 April 2015 with the corresponding rules provided to the FMA by NZX on 10 Nove 2015