Back

Document Library

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

Found 1608 results. Displaying page 99 of 108

  1. 1 December 2013

    Accredited Body Report – CPA Australia 2013

    The Auditor Regulation Act (the Act) requires the Financial Markets Authority (FMA) to assess to what extent CPA Australia, as an accredited body under the Act: has adequate and effective audit regulatory systems;
    complies with its obligations under the Auditor Regulation Act (Prescribed Minimum Standards for Accredited Bodies) Notice 2012. This is for the period ended 30 June 2013 report.
    Tags
    Reports and Papers, Auditors, Roles, Monitoring, Business, News & Insights
    Type
    PDF

  2. 1 December 2013

    Accredited Body Report – New Zealand Institute of Chartered Accountants 2013

    NZICA’s obligations under the Act require it to have adequate and effective systems, policies and procedures
    in place to perform its regulatory functions. These functions include: licensing of domestic auditors and registering domestic audit firms; monitoring the population registered by NZICA; promoting and monitoring competence; taking action against misconduct.
    This report contains the outcome of FMA’s assessment and covers the period 1 July 2012 to 30 June 2013
    (the review period).
    Tags
    Reports and Papers, Monitoring, Auditors, Roles, Business, News & Insights
    Type
    PDF

  3. 1 December 2013

    Audit Quality Review Report 2013

    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 2012 to 30 June 2013.
    Tags
    Reports and Papers, Auditors, Roles, Business, News & Insights
    Type
    PDF

  4. 26 November 2013

    FMA Annual Report 2013

    FMA Annual Report 2013.
    Tags
    Type
    PDF, Annual report, Corporate publications

  6. 13 November 2013

    Consultation licensing DIMS providers

    Consultation: Draft minimum standards and licence conditions for Discretionary Investment Management Service (DIMS) providers.
    Tags
    Discretionary investment management scheme (DIMS), Consultations, Roles, Business
    Type
    PDF

  7. 13 November 2013

    Consultation licensing independent trustees

    Consultation: Draft minimum standards and licence conditions for independent trustees of restricted schemes.
    Tags
    Independent trustee, Roles, Consultations, Business
    Type
    PDF

  8. 13 November 2013

    Consultation licensing derivatives issuers

    Consultation: Draft minimum standards and licence conditions for derivative issuers.
    Tags
    Derivative Issuer, Consultations, Roles, Business
    Type
    PDF

  9. 13 November 2013

    Consultation licensing MIS

    Consultation: Draft minimum standards and licence conditions for managers of non-restricted and registered Managed Investment Schemes (MIS).
    Tags
    Managed investment schemes, Consultations, Roles, Business
    Type
    PDF

  10. 12 November 2013

    Consultation licensing peer to peer lending

    Consultation: Draft minimum standards and licence conditions for peer-to-peer lending service providers (P2P).
    Tags
    Peer-to-peer lending service providers, Consultations, Roles, Business
    Type
    PDF

  11. 8 November 2013

    NZX Participant Rules - Approval of market rules notice 2013

    This notices comes into force on 11 Nov 2013. This notice allows for NZX to replace the NZX Participant Rules dated 24 Aug 2012 with the NZX Participant Rules dated 8 Nov 2013
    Tags
    FMC Act, Legislation, Business
    Type
    PDF, Notice

  13. 1 November 2013

    Future of Financial Markets Report 2013

    In this paper, the FMA sets out the changes to be implemented will be when the Financial Markets Conduct (FMC) Act comes into force.
    Tags
    Reports and Papers, FMC Act, Legislation, Business, News & Insights
    Type
    PDF, Paper

  14. 1 November 2013

    A Guide to the Financial Markets Conduct Act 2013 Reforms

    This Guide explains the purposes of the Financial Markets Conduct (FMC) Act 2013 and how it fits in with other
    financial markets reforms. There is also a big picture view of the main reforms included in the FMC Act.
    Tags
    FMC Act, Regulation, Legislation, Business
    Type
    PDF, Paper