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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 83 of 108

  1. 30 November 2015

    KVB Kunlun New Zealand Limited Waiver Notice

    KVB Kunlun New Zealand Limited Waiver Notice under section 68 of the Financial Markets Conduct Act 2013 PDS consideration unnecessary
    Tags
    Waivers, Business
    Type
    PDF

  2. 30 November 2015

    ASB Bank Limited Waiver Notice

    ASB Bank Limited Waiver Notice under section 68 of the Financial Markets Conduct Act 2013 PDS consideration unnecessary
    Tags
    Waivers, Business
    Type
    PDF

  3. 30 November 2015

    Audit Quality Monitoring report 2015

    This report provides an overview of the outcomes of the audit quality review activities of the Financial Markets Authority (FMA) for the period 1 July 2014 to 30 June 2015.
    Tags
    Regulation, Reports and Papers, Auditors, Roles, Business, News & Insights
    Type
    PDF

  4. 30 November 2015

    Auditor regulation survey results 2015

    Results for the 2015 auditor regulation survey
    Tags
    Reports and Papers, Auditors, Roles, Business, News & Insights
    Type
    PDF, Surveys

  7. 17 November 2015

    Consultation proposed variations to standard conditions of market services licences

    It aims to seek feedback from FMC Act market service
    licensees on a proposal requiring the licensees’ governing
    bodies to declare, annually, they have complied with
    conditions for their licence. It explains: proposed changes to standard conditions for FMC Act licences.
    Tags
    Consultations, Standard conditions, Licensing & registration, Business
    Type
    PDF

  8. 17 November 2015

    Consultation on annual declaration of compliance for FMC Act licensees

    This consultation is for all individuals or businesses who are
    FMC Act market service licensees. It aims to:seek feedback from FMC Act market service licensees on a proposal requiring the licensees’ governing bodies to declare, annually, they have complied with conditions for their licence.
    Tags
    Consultations, FMC Act, Legislation, Business
    Type
    PDF

  15. 5 November 2015

    Consultation paper charities debt securities exemption

    We are consulting on whether charities issuing debt securities should be subject to standard Financial Markets Conduct Act 2013 (FMC Act) obligations. The FMC Act requires organisations offering debt securities to disclose certain information and to have a licensed supervisor.
    Tags
    Consultations, Business
    Type
    PDF