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Market Operator Obligations Targeted Review NZX

As a licensed market operator, NZX is required to meet certain general obligations imposed under section 314 of the Financial Markets Conduct Act 2013 (FMC Act). One of those obligations requires NZX to have sufficient technological resources to operate its licensed markets properly. This includes ensuring, to the extent reasonably practicable, the availability, security, capacity and maintenance of its trading platforms, settlement systems, internal market monitoring systems and other related systems.

ASX24 Obligations Review 2020

Australian Securities Exchange Limited (ASX 24) is licensed to operate the ASX 24 derivatives market (derivatives market) in New Zealand. The FMA is required to report at least once every two years1 on how well ASX 24 is meeting its licensed market operator obligations. This review covers the period 1 July 2018 to 30 June 2020. T

Review of Wholesale Investor Exclusion 750000 Minimum Investment Exemption feedback form

Feedback form: consultation - review of wholesale investor exclusion

Exemption notice - Financial Markets Conduct Squirrel Investment Funds

Financial Markets Conduct (Squirrel Investment Funds) Exemption Notice 2021

Consulation Review of wholesale investor exclusion exemption

This consultation is for all interested people including wholesale investors, banks, brokers, issuers and legal advisers. It seeks feedback to inform our review of the Financial Markets Conduct (Wholesale Investor Exclusion - $750,000 Minimum Investment) Exemption Notice 2017.

31 December 2020 Disclose Register KiwiSaver fund updates

This document is the Disclose Register for KiwiSaver fund updates for 31 December 2020

31 December 2020 Disclose Register MIS fund updates

This document is the Disclose Register for MIS fund updates for 31 December 2020

PTT Limited - High Court Decision

High Court Judgment in the case against PTT Limited, Maxwell Foster Limited and Gibson Mcleod Limited, 18 December 2020.

NZICA accredited body report 2020

This report contains the findings of our monitoring assessment of the New Zealand Institute of Chartered Accountants (NZICA) for the period 1 July 2019 to 30 June 2020.

Exemption notice - Financial Markets Conduct Australian Licensees Notice

Financial Markets Conduct (Australian Licensees) Exemption Notice 2020

Complying with the prohibition on the notice of trusts on registers

This information sheet explains the FMA’s expectations in regards to how issuers of regulated products can comply with the prohibition on the notice of trusts being entered on the register that is required to be kept by the issuer.

FMA Annual Report 2020

The 2020 FMA Annual Report highlights our key work from the 2019/2020 financial year, including our response to the COVID-19 crisis, and a range of enforcement activity.

Disclosure framework for integrated financial products

The disclosure framework for integrated financial services guidance note 2020 is relevant to issuers of financial products that incorporate non-financial factors.

Submissions on the Auditor Regulation Act (Prescribed Minimum Standards and Conditions for Licensed Auditors and Registered Audit Firms) Notice 2020 - summary of key themes

Summary of key themes: Submissions on the Auditor Regulation Act (Prescribed Minimum Standards and Conditions for Licensed Auditors and Registered Audit Firms) Notice 2020.

Consultation Standard conditions FAP consultation submissions combined part three

Consultation on the proposed standard conditions for financial advice provider full licences and classes of financial advice service - summary of key themes.

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