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Document Library

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

Found 1800 results. Displaying page 104 of 120

  6. 1 December 2014

    NZX NXT Financial Product Market Licence 2014

    This cancelled licence granted NZX Limited authority to operate the NXT Market under the Financial Markets Conduct Act 2013, outlining conditions for market rules, SME targeting, investor risk warnings, and compliance with FMA and regulatory requirements. The licence was officially cancelled on 23 June 2021.

  14. 1 November 2014

    Declaration by individual relevant party such as owner

    Declaration form to be completed by an individual relevant party such as an owner when applying for a market services licence under Part 6 of the Financial Markets Conduct Act 2013 (FMC Act) and disclosure is required by relevant parties, as defined in regulation 189 of the Financial Markets Conduct Regulations 2014 (Regulations).

  15. 1 November 2014

    Declaration by senior manager of relevant party

    This declaration form should be completed by senior managers of a relevant party when applying for a market services licence under Part 6 of the Financial Markets Conduct Act 2013 (FMC Act) and disclosure is required by relevant parties, defined in regulation 189 of the Financial Markets Conduct Regulations 2014 (Regulations).