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Financial Advisers Disciplinary Committee decisions - OIA request

OIA respnse, dated 15 February 2019, regarding Financial Advisers Disciplinary Committee (FADC) example cases and decisions

Financial Markets Conduct (NZX Participant Rules) - Approval of Rule Change Notice 2019

This notice approves changes to the Participant Rules that were provided to the FMA by NZX for approval on 18 December 2018 with further minor amendments provided 17 January 2019.

OIA Reporting Enitites

OIA response, dated 5 February 2019, regarding the number of times in 2019 that the FMA requested a reporting entity (RE) seek an audit of its risk assessment

Life Insurer Conduct and Culture 2019

Findings from an FMA and RBNZ review of conduct and culture in New Zealand life insurers.

31 December 2018 Disclose Register KiwiSaver fund updates

This document is the Disclose Register for KiwiSaver fund updates for 31 December 2018

31 December 2018 Disclose Register MIS fund updates

This document is the Disclose Register for MIS fund updates for 31 December 2018

Exemption Notice - Financial Markets Conduct Invion Limited

Financial Markets Conduct (Invion Limited) Exemption Notice 2018

NZX Participant Rules - Approval of Changes Notice 2018

FMA approves 2018 NZX Participant Rules changes, effective 1 July 2019 or later as set by NZX under Rule 1.4 of the Participant Rules.

NZX Derivatives Market Rules - Approval of Rule Changes 2018

FMA approves 2018 rule changes to NZX Derivatives Market Rules under the FMC Act, effective 20 Dec 2018, with new listing rules from Jan 2019.

NZX NZ Market Disciplinary Tribunal Rules Approval of Rule Changes 2018

Workplace sexual harassment survey - OIA response

OIA survey response regarding workplace sexual harassment

ANZ Bank New Zealand Limited - Judgment

Judgment in the Court of Appeal in the case against ANZ Bank New Zealand Limited, 17 December 2018.

FMA Board Conflicts Policy

FMA Board Conflicts Policy defines member interest rules, disclosure duties, and procedures to manage conflicts in decision-making.

Conduct and culture review remediation categories - OIA response

Conduct and culture review of banks remediation categories OIA response on 15 December 2018

Exemption Notice - Todd Family Office Limited Financial Reporting

Financial Markets Conduct Exemption Notice 2018: Todd Family Office Limited Financial Reporting.

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