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Document Library

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

Found 1604 results. Displaying page 27 of 107

  4. 22 December 2021

    Medical Kiwi Limited - Enforceable Undertaking

    In August 2020, Medical Kiwi offered shares to potential investors via the online crowd funding platform PledgeMe Limited. These undertakings relate to misleading statements by Medical Kiwimade in August 2020 in relation to the Offer.
    Tags
    Enforceable Undertaking, Enforcement
    Type
    PDF

  6. 15 December 2021

    Fonterra Shareholders' Market Listing Rules - Approval of Change Notice 2021

    The amendments to the FSM Listing Rules are generally consequential on external factors relating to Fonterra, and include the following: FSM Listing Rule 1.8.2, Rules 1.8.2(c), 1.8.4(a) and 6.1.2(a)(ix) and (x) and the Glossary, and, FSM Listing Rule 6.1.2 are amended
    Tags
    FMC Act, Legislation, Business
    Type
    PDF, Notice

  7. 13 December 2021

    Squirrel P2P Trustee Limited - Public Warning

    Public warning issued under Section 9 of the Financial Markets Authority Act 2011 regarding Squirrel P2P Trustee Limited, FSP 415167. 13 December 2021.
    Tags
    Enforcement
    Type
    PDF

  8. 13 December 2021

    Financial Services Complaints Limited - MOU

    MOU concerning consultation, cooperation and the exchange of information between the FMA and the Financial Services Complaints Limited
    Tags
    Regulatory cooperation, FMA
    Type
    PDF, MOU

  10. 10 December 2021

    Outsourcing CDD to a third party provider Reminder to FMA and DIA reporting entities

    While third-party providers can provide a useful service, both the DIA and FMA are aware of an increasing number of reporting entities taking a view that the third-party provider “just takes care of it all” and that all CDD requirements are then met. This is not the case. Read more about outsourcing your CDD requirments.
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    PDF

  12. 6 December 2021

    AML/CFT Sector Risk Assessment 2021

    Our Sector Risk Assessment (SRA) helps us and the Reporting Entities we supervise understand the risks of money-laundering
    (ML) and terrorism financing (TF) in each sector. This SRA
    replaces our SRA published in 2017.
    Tags
    AML/CFT, Reports and Papers, Roles, Reporting entities, Business, News & Insights
    Type
    PDF

  14. 1 December 2021

    Accredited Body Report - CPA Australia 2021

    Findings from the FMA’s review of the adequacy and
    effectiveness of CPA Australia’s audit regulatory systems for
    the period 1 July 2020 to 30 June 2021
    Tags
    Reports and Papers, Auditors, Roles, Business, News & Insights
    Type
    PDF

  15. 1 December 2021

    Financial Markets Authority Efficiency, effectiveness and baseline review

    The purposes of this Review are to provide assurance regarding the extent to which the FMA is focused on the right activities in support of its main statutory objectives and the
    extent to which resources are efficiently and effectively directed to these ends. The Review is also
    aimed at identifying opportunities for improving organisational performance. The report was produced by PwC for the FMA.
    Tags
    Obligations, Reports and Papers, Business, FMA, News & Insights
    Type
    PDF