Document Library

Found 1640 results. Displaying page 1 of 110

1. 11 September 2024

   Ethical investing disclosure insights

   This document provides an update on the FMA's supervision of ethical investment disclosure.

2. 10 September 2024

   Understanding Artificial Intelligence in Financial Services

   This report looks at current and future use of artificial intelligence (AI) within the financial services sector.

3. 9 September 2024

   Rockfort Markets v FMA Judgment

   Rockfort Markets v FMA Judgment with details of licence cancellation due to Rockfort materially contravening eight of its licence obligations.

4. 3 September 2024

   Investigations and Insider Trading data OIA 2024 response

   Statistics on Investigations, Insider Trading and Market Manipulation

5. 3 September 2024

   FMA as supervisor of AML 2024 OIA response

   FMA as supervisor of AML 2024 OIA response

6. 3 September 2024

   Ministers secondary briefing OIA 2024 repsonse

   Any secondary briefing provided by our minister since 27 November 2023 to the FMA

7. 3 September 2024

   AML enforcement 2024 OIA response

   Data relating to the FMA's AML enforcement approach

8. 3 September 2024

   Data relating to NZ Investment Market OIA 2024 response

   Data on the NZ Investment market, Financial Advisers and DIMS licences

9. 3 September 2024

   FMA Consultants and contractors spend OIA 2024 response

   FMA spending on contractors and consultants

10. 3 September 2024

    FMA spend on PR and comms OIA 2024 response

    FMA spending on PR and communications

11. 3 September 2024

    Monitoring of non-GAAP OIA 2024 response

    FMA monitoring of non-GAAP financial information

12. 3 September 2024

    FMA Org chart OIA 2024 response

    FMA Organizational chart

13. 3 September 2024

    FMAs enforcement for AML specifically the stockbroking sector 2024 OIA response

    FMA's enforcement for AML, specifically the stockbroking sector

14. 3 September 2024

    AML processes for identity verification OIA 2024 response

    FMA’s verification of identity’s in relation to the Anti-Money Laundering and Countering Financing Terrorism Act 2009

15. 3 September 2024

    FMA offences and prosecutions OIA 2024 response

    FMA data on offences and prosecutions