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Document Library

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

Found 1606 results. Displaying page 50 of 108

  4. 1 July 2019

    AML/CFT Annual Report form

    This is a form for completion by all AML/CFT reporting entities to the FMA that should be completed and submitted on an annual basis.
    Tags
    AML/CFT, Roles, Business
    Type
    Submission form, PDF

  6. 30 June 2019

    NZX Obligations Review 2019

    Under the FMC Act, we are required to review at least annually how well a licensed market operator is meeting its obligations, and to publish a written report. Broadly, these relate to the areas of operation that are regulatory in nature. Publishing the report provides transparency into our oversight of NZX. This report was published in 2019.
    Tags
    Market operator, Roles, Reports and Papers, Business, News & Insights
    Type
    Paper, PDF

  9. 27 June 2019

    NZX Obligations Review 2018

    Under the FMC Act, we are required to review at least annually how well a licensed market operator is meeting its obligations, and to publish a written report. Broadly, these relate to the areas of operation that are regulatory in nature. Publishing the report provides transparency into our oversight of NZX. This report was published in 2018.
    Tags
    Market operator, Reports and Papers, Roles, Business, News & Insights
    Type
    PDF

  10. 27 June 2019

    Auditor regulation and oversight plan 2019 2022

    This report summarises our plan relating to auditor oversight, as part of our obligation under section 52 of the Auditor Regulation Act 2011. It includes small changes to our previous plan, but overall our focus areas remain unchanged.
    Tags
    Regulation, Reports and Papers, Auditors, Roles, Business, News & Insights
    Type
    PDF

  11. 27 June 2019

    ICE Futures US Obligations Review 2019

    ICE Futures U.S., Inc. (IFUS) is licensed to operate the IFUS derivatives market (the derivatives market) in New Zealand.
    The FMA is required to report, at least once every two years on how well IFUS is meeting its obligations as a licensed market operator.
    Tags
    Market operator, Reports and Papers, Roles, Business, News & Insights
    Type
    PDF

  12. 27 June 2019

    ICE Futures Europe Obligations Review 2019

    ICE Futures U.S., Inc. (IFUS) is licensed to operate the IFUS derivatives market (the derivatives market) in New Zealand.
    The FMA is required to report, at least once every two years on how well IFUS is meeting its obligations as a licensed market operator.
    Tags
    Market operator, Reports and Papers, Roles, Business, News & Insights
    Type
    PDF

  13. 25 June 2019

    Consultation transitional licensing standard conditions

    Consultation: Proposed standard conditions for financial advice provider transitional licences
    Tags
    New Financial Advice regime, Consultations, Standard conditions, Licensing & registration, Business
    Type
    PDF

  14. 5 June 2019

    Kiwi Wealth Limited Amendment Notice 2019

    KiwiSaver Default Provider (Kiwi Wealth) Notice - fee can be changed by a default provider by introducing a maximum amount
    Tags
    Managed funds, Ways to invest, Investing, Consumer
    Type
    PDF, Notice