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Document Library

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

Found 1608 results. Displaying page 26 of 108

  2. 18 March 2022

    Impact of Russia Sanctions on AML/CFT reporting entities

    An update from the three AML/CFT Act supervisors to reporting entities on what is required of them under the Russia Sanctions Act 2022.
    Tags
    AML/CFT, Legislation, AML/CFT act 2009, Roles, Business
    Type
    PDF

  5. 8 March 2022

    Exemption Notice - IG Australia

    The Financial Markets Conduct (IG Australia Pty Limited) Exemption Notice 2022 provides relief to IG Australia Pty Limited (IG Australia) from certain financial reporting and audit obligations in the FMC Act and from certain assurance obligations and register entry requirements in the FMC Regulations.
    Tags
    FMC Act, Exemptions, Legislation, Business
    Type
    PDF

  6. 7 March 2022

    Simplicity NZ Ltd - Direction Order

    Direction order issued to Simplicity NZ Limited pursuant to section 414 of the FMC Act 2022 7 March 2022.
    Tags
    Managed funds, Investigations, Ways to invest, Investing, Consumer, Enforcement
    Type
    PDF

  12. 25 February 2022

    CoFR agencies - OIA request

    OIA request response regarding information discussed by CoFR regarding the Credit Contracts and Consumer Finance Act (CCCFA).
    Tags
    Type
    PDF, OIA

  15. 28 January 2022

    Application Form - Supervisors Licence TRU1.1

    Application Form for Financial Markets Supervisors Licence
    (For a New Licence or to Replace an Expiring Licence) TRU1.1
    Tags
    Licensing & registration, Roles, Business, Supervisor
    Type
    PDF, Application form