Back

Document Library

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

Found 1611 results. Displaying page 90 of 108

  1. 10 December 2014

    Banking Ombudsman Scheme Limited - MOU

    MOU concerning consultation, cooperation and the exchange of information between the FMA and the Banking Ombudsman Scheme Limited
    Tags
    Regulatory cooperation, FMA
    Type
    PDF, MOU

  2. 3 December 2014

    Commerce Commission v ANZ - Settlement Agreement

    Settlement Agreement made with New Zealand Commerce Commission by ANZ Bank New Zealand Limited following an investigation into interest rate swaps transactions with rural customers between 2005 and 2009. 3 December 2014.
    Tags
    Type
    PDF

  7. 1 December 2014

    NZX Financial Product Market Licence 2014

    New Zealand Financial Product Market Licence (NZX
    Limited) 2014
    Tags
    Market operator, Roles, Licence, Licensing & registration, Business
    Type
    PDF

  9. 1 December 2014

    Consultation Fund update template and guidance for calculating risk indicators

    This paper is for market participants that manage funds and for their supervisors and investors. It explains how we propose to use two of the tools available to the FMA under the Financial Markets Conduct Act 2013 (FMC Act) and the Financial Markets Conduct Regulations 2014 (Regulations) to support the new offers regime for managed funds. We are consulting on a proposed ‘frameworks or methodologies’ (FM) template for fund updates and new guidance for calculating risk indicators.
    Tags
    Consultations, Roles, Business, Managed investment schemes
    Type
    PDF

  11. 1 December 2014

    Information Sheet Debt offers one off

    Overview of timeline for debt offers transitioning to the FMC Act.
    Tags
    Offer disclosure for equity and debt offers, Roles, Business
    Type
    PDF, Information Sheet