Document Library

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


Found 1796 results. Displaying page 100 of 120

  1. 30 May 2015

    CMB Information Sheet for May 2015

    Offers of contributory mortgages made by contributory mortgage brokers who are not lawyers are regulated under the Securities Act (Contributory Mortgage) Regulations 1988 (Regulations). The Regulations exempt brokers from certain disclosure and governance requirements, under the Securities Act 1978.
  2. 28 April 2015

    Hanover - Settlement Agreement

    Settlement Agreement with the Directors' of Hanover Finance Ltd (HFL), United Finance Ltd (UFL) and Hanover Capital Limited (HCL), 28 April 2015.
  3. 16 March 2015

    Contingency DIMS seminar presentation

    FMA seminar on contingency DIMS explains discretionary services, licensing exemptions, compliance duties, and client agreement rules.