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Found 1610 results. Displaying page 52 of 108

9 April 2019

Mark Stephen Talbot - Sentencing Notes

High Court Sentencing remarks in the case against Mark Stephen Talbot, 9 April 2019.

Tags

Cases, Enforcement

Type

PDF
5 April 2019

Exemption Notice - OnePath Custodians Pty Limited

Financial Markets Conduct Exemption Notice 2019: OnePath Custodians Pty Limited.

Tags

Exemptions, Business

Type

PDF
4 April 2019

Financial Markets Conduct - NZX Listing Rules Approval of Rule Change Notice

This notice allows NZX to replace the NZX Issuer Rules, dated 1 January 2016, with the corresponding amended rules with effect from 1 January 2020 or as otherwise determined by NZX in accordance with the Participant Rule 1.4.1

Tags

FMC Act, Legislation, Business

Type

PDF, Notice
3 April 2019

Exemption Notice - Financial Markets Conduct Harbour Investment Funds

Financial Markets Conduct (Harbour Investment Funds) Exemption Notice 2019

Tags

Exemptions, Business

Type

PDF
1 April 2019

AML/CFT Annual Monitoring Report 2018

This report summarises our monitoring activities from 1 July 2016 to 30 June 2018, to help reporting entities better understand our expectations, and what they can do to improve their systems and processes to comply with the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 and its supporting regulations.

Tags

AML/CFT, Monitoring, Reports and Papers, Roles, Reporting entities, Business, News & Insights

Type

PDF
31 March 2019

31 March 2019 Disclose Register KiwiSaver fund updates

This document is the Disclose Register for KiwiSaver fund updates for 31 March 2019

Tags

Disclose register, Business

Type

Spreadsheet
31 March 2019

31 March 2019 Disclose Register MIS fund updates

This document is the Disclose Register for MIS fund updates for 31 March 2019

Tags

Disclose register, Business

Type

Spreadsheet
28 March 2019

Richard Owen Dey - Notice of decision NZICA

Notice by the NZ Institute of Chartered Accountants and notice of decision and order of the professional conduct committee on 4 February2019 in respect of Richard Owen Dey.

Tags

Auditors, Roles, Activity, Business, Enforcement

Type

PDF
27 March 2019

Michael Derek Wood - notice of decision NZICA

New Zealand Insitute of Chartered Accountants notice of decision and order of the professional conduct committee with regards to Michael Derek Wood in March 2019.

Tags

Enforcement

Type

PDF
25 March 2019

190325 Share This investor guide

Share This! is a guide produced by the FMA to help novice investors navigate investing investing in shares.

Tags

Shares, Investing, Investor information, Ways to invest, Consumer

Type

PDF
22 March 2019

Spending on advertising - OIA response

OIA Request regarding spending on advertising

Tags

FMA

Type

PDF, OIA
22 March 2019

Complaints against AFAs and RFAs - OIA response

OIA, dated 22/03/2019, regarding complaints made to the FMA about Authorised Financial Advisers and Registered Financial Advisers over the last five years

Tags

FMA

Type

PDF, OIA
14 March 2019

Bublitz First Trial costs - OIA response

OIA response, dated 14 March 2019, regarding the cost breakdown of the Bublitz First Trial

Tags

FMA

Type

PDF, OIA
5 March 2019

ANZ Bank New Zealand Limited - Appeal Judgment

Judgment of the Court of Appeal in the case against ANZ Bank New Zealand Limited, 5 March 2019.

Tags

Court decision, Enforcement

Type

PDF
28 February 2019

ASX 24 Obligations Review 2018

The FMA is required to report at least once every two years on how well ASX 24 is meeting its licensed market operator obligations.The ASX 24 Obigations Review 2018 covers the period 1 July 2016 to 30 June 2018.

Tags

Monitoring, Roles, Market operator, Business

Type

PDF, Report