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

Found 1606 results. Displaying page 53 of 108

  3. 18 February 2019

    Expense Disclosure CE Gifts July Dec 2018

    CE gifts and benefits disclosure for the period 1 July 2018 - 31 December 2018
    Tags
    Chief Executive Gifts and Benefits Disclosure, FMA
    Type
    PDF

  7. 15 February 2019

    Gifts and Hospitality since 2013 - OIA response

    OIA response, dated 15 Feb 2019, requesting information surrounding any gifts and hospitality given to FMA staff by private organisations since 2013.
    Tags
    FMA
    Type
    PDF, OIA

  9. 5 February 2019

    OIA Reporting Enitites

    OIA response, dated 5 February 2019, regarding the number of times in 2019 that the FMA requested a reporting entity (RE) seek an audit of its risk assessment
    Tags
    FMA
    Type
    PDF, OIA

  10. 29 January 2019

    Life Insurer Conduct and Culture 2019

    Findings from an FMA and RBNZ review of conduct and culture in New Zealand life insurers.
    Tags
    Reports and Papers, Financial Advice Provider, Roles, Business, News & Insights
    Type
    PDF

  14. 19 December 2018

    NZX Participant Rules - Approval of Changes Notice 2018

    This notice approves the changes to the Participant Rules that were provided to the FMA by NZX for approval on 13 Nov 2018. These changes will be incorporates into the Participant Rules on 1 July 2019 or on a date in the future determined by the NZX in accordance with the Participant Rules at Rule 1.4
    Tags
    FMC Act, Legislation, Business
    Type
    PDF, Notice

  15. 19 December 2018

    NZX Derivatives Market Rules - Approval of Rule Changes 2018

    This notice approves changes to the Derivates Rules that were provided to the FMA by NZX for approval on 13 Nov 2018. The changes approved are: necessary amendments to ensure consistency with the listing rules and the Captial Adequcy rules have been amended to include "Fund" as well as Debt and Equity Securities.
    Tags
    Derivatives, FMC Act, Legislation, Ways to invest, Investing, Business, Consumer
    Type
    PDF, Notice