Document Library

Found 1650 results. Displaying page 75 of 110

1. 6 March 2017

   Adviser point of retirement research report 2017

   This report summarises feedback we gathered from 10 authorised financial advisers about advice close to or at retirement. It also includes feedback from 104 people currently receiving advice from financial advisers. The purpose of this research was to find out if financial advice helps New Zealanders manage their retirement savings. It forms part of a wider FMA project to understand the financial help and advice people receive when they retire.

2. 6 March 2017

   Consultation paper Disclosing non GAAP financial information

   This guidance note is primarily for FMC reporting entities and their directors. It aims to outline the FMA's expectations on the use of non-GAAP financial information.

3. 3 March 2017

   Mark Warminger - Judgment

   Mark Warminger Judgment in the HIgh Court issued in the case brought about by the FMA March 2017.

4. 20 February 2017

   Conduct Outcomes Report 2016

   This report highlights the key issues and actions from our enforcement, supervision and preventative activities in the period 1 July 2015 to 30 June 2016.

5. 16 February 2017

   2017 Letter of Expectations

   The letter of expectation 2017 is delivered by the Minister to the FMA to formalise expectation of the FMA as a Crown entity.

6. 15 February 2017

   New Zealand Law Society - MOU

   MOU concerning consultation, cooperation and the exchange of information between the FMA and the New Zealand Law Society

7. 2 February 2017

   Submissions Report Conduct Guide consultation

   This is a summary of the submissions received by the FMA in response to the consultation of draft guide to the FMA's view of conduct, 2017.

8. 2 February 2017

   FMAs view of conduct guidance

   This guidance note is for: directors and executives of licensed financial services providers. The guide was published in 2017.

9. 30 January 2017

   Expense disclosure CE Gifts July December 2016

   CE gifts and hospitality disclosure for the period 1 June 2016 - 31 December 2016

10. 30 January 2017

    Expense disclosure CE Other July December 2016

    CE expenses disclosure for the period 1 July 2016 - 31 December 2016

11. 30 January 2017

    Expense disclosure CE Travel July December 2016

    CE expenses disclosure for the period 1 July 2016 - 31 December 2016

12. 25 January 2017

    Regulatory Impact Statement – Forestry schemes 2017

    This document is for managers, supervisors, custodians and investors in forestry schemes. It discusses exemptions granted to forestry schemes.

13. 25 January 2017

    Regulatory Impact Statement – Property schemes 2017

    This document is for: managers, supervisors, custodians and investors in property schemes. It discusses exemptions granted to property schemes.

14. 16 January 2017

    Consultation paper Requirement for managers of multiple participant schemes to register participation agreements 1

    The consultation seeks feedback on our proposal to exempt managers of multiple participant schemes from the requirement to register participation agreements entered into with the various employers they service.

15. 13 January 2017

    Exemption Notice - JP Morgan Global Growth Income plc and JPMorgan Japanese Investment Trust plc

    Financial Markets Conduct (JP Morgan Global Growth & Income plc and JP Morgan Japanese Investment Trust plc) Exemption Notice 2016