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Document Library

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

Found 1616 results. Displaying page 70 of 108

  1. 28 June 2017

    Statement of Intent 2017

    Our SOI has a four-year outlook and follows the SRO by identifying the performance measures we will use to mark our progress towards achieving our regulatory objectives. This is our 2017 report.
    Tags
    Type
    PDF, Statement of intent, Corporate publications

  2. 28 June 2017

    Ice Futures Europe review 2017

    ICE Futures U.S., Inc. (IFUS) is licensed to operate the IFUS derivatives market (the derivatives market) in New Zealand.
    We are required to report, at least once every two years
    on how well IFUS is meeting its obligations as a licensed
    market operator. This review covers the period 1 December 2014 to 31 December 2016. This is our first review of
    IFUS since it became licensed on 1 December 2014.
    Tags
    Reports and Papers, Roles, Business, Market operator, News & Insights
    Type
    PDF

  3. 28 June 2017

    Ice Futures US review 2017

    ICE Futures U.S., Inc. (IFUS) is licensed to operate the IFUS derivatives market (the derivatives market) in New Zealand.
    We are required to report, at least once every two years
    on how well IFUS is meeting its obligations as a licensed
    market operator. This review covers the period 1 December 2014 to 31 December 2016. This is our first review of
    IFUS since it became licensed on 1 December 2014.
    Tags
    Reports and Papers, Roles, Business, Market operator, News & Insights
    Type
    PDF

  5. 28 June 2017

    Statement of Performance Expectation 2017

    The Statement of Performance Expectations (SPE) is one of two documents that set out how we measure our
    future performance and report on the progress of that performance against our performance targets. This is our 2017 report.
    Tags
    Type
    PDF, Statement of Performance Expectations, Corporate publications

  7. 23 June 2017

    Auditor regulation and oversight plan 2017 2020

    The Auditor regulation and oversight plan, 2017-2020 is for Auditors or people who prepare financial statements.
    Tags
    Reports and Papers, Auditors, Roles, Business, News & Insights
    Type
    PDF

  9. 21 June 2017

    Consultation paper Robo advice exemption

    This consultation is for financial advisers, financial product providers, consumers and other interested parties. It seeks feedback on the exemption proposal to facilitate the provision
    of personalised robo-advice.
    Tags
    Authorised body under a FAP, Financial Advice Provider, Financial Adviser, Consultations, Roles, Business, Interposed persons under new financial advice regime
    Type
    PDF

  10. 13 June 2017

    Jeffrey Peter Honey - Sentencing notes

    Sentencing notes, district court at Auckland in the case against Jeffrey Peter Honey, 13 June 2017.
    Tags
    Court decision, Enforcement
    Type
    PDF

  11. 7 June 2017

    KiwiSaver annual statements methodology notice

    This notice comes into force on 2017 and applies to accounting periods of KiwiSaver schemes that commence on or after the commencement date of this notice. The notice sets out a methodology which managers of KiwiSaver schemes must comply with when calculating the approximate total sum of the fees paid by each of their scheme participants. This information (which must be expressed as a dollar amount) must be included in the confirmation information that KiwiSaver providers are required to provide to each scheme participant each year pursuant to the Financial Markets Conduct Act 2013 (Act).
    Tags
    KiwiSaver providers, Roles, Business, Managed investment schemes
    Type
    PDF, Notice

  12. 2 June 2017

    Amendment Notice 2017 FMC Shares in Investment Companies Designation

    The amendment notice amends the Financial Markets Conduct (Shares in Investment Companies) Designation Notice 2017 which came into force on the 19 May 2017. The notice declares that certain shares in investment companies are managed investment products rather than equity securities for the purposes of the FMC Act, but the princepal notice does not apply to shares that are NZX Main Board shares.
    Tags
    FMC Act, Legislation, Business
    Type
    PDF, Notice

  13. 2 June 2017

    Report: Encouraging fund choice in KiwiSaver

    This 2017 report is for KiwiSaver providers and for providers of any Managed Investment Scheme.
    Tags
    Reports and Papers, KiwiSaver providers, Roles, Business, Managed investment schemes, News & Insights
    Type
    PDF

  14. 1 June 2017

    Innovative Securities - Judgment

    High Court judgment issued to Innovative securities in the case between FMA and Innovative Securities, 1 June 2017.
    Tags
    Court decision, Judgment, Enforcement
    Type
    PDF

  15. 29 May 2017

    Investor Confidence Survey 2017

    The FMA carried out investor research measuring attitudes
    towards, and investment in New Zealand’s financial markets. The survey was conducted by Colmar Brunton in 2017.
    Tags
    Reports and Papers, Investor capability, FMA, News & Insights
    Type
    PDF, Research