Document Library

Found 1640 results. Displaying page 26 of 110

1. 30 September 2022

   Climate related disclosure Record keeping initial monitoring approach

   FMA's initial monitoring approach for climate-related record keeping - to inform and support new climate reporting entities to meet their statutory reporting requirements.

2. 30 September 2022

   AIA New Zealand Ltd - Judgment

   23 September 2022 The Auckland High Court ordered life insurer AIA to pay a pecuniary penalty of $700,000 for making false and/or misleading representations to some customers.

3. 29 September 2022

   FMA Investor checklist

   World Investor Week investing plan checklist.

4. 29 September 2022

   Catalist market operator obligations review 2022

   This report covers the first market obligations review for Catalist, and covers the period from 21 June 2021, the licence commencement date, to 31 March 2022, the end of Catalist’s first reporting period.

5. 27 September 2022

   Securities Industry Association submission

   Consultation submission from Securities Industry Association, 1 Aug 2013: Practical implications of factsheet on Managing Intermediaries feedback

6. 27 September 2022

   Consultation paper Client money or property service provider guidance

   Consultation on proposed guidance on the obligations for client money or property service providers.

7. 27 September 2022

   Feedback form Client money and property service guidance

   Feedback form for consultation client money and property services guidance.

8. 21 September 2022

   WIW 2022 Social tiles

   World Investor Week 2022 social tiles for sharing purposes.

9. 21 September 2022

   WIW2022 Website banners

   World Investor Week 2022 promotion materials. This zip file includes website banners

10. 15 September 2022

    WIW2022 Logos

    World Investor Week 2022 promotion materials. This zip file includes logos

11. 11 September 2022

    KiwiSaver Statements Report 0722

    The KiwiSaver Statements research report commissioned by the FMA July 2022

12. 9 September 2022

    Consultation paper on proposed Regulatory returns for licensed Class 3 financial advice providers

    Public consultation on the proposed regulatory returns that licensed Class 3 financial advice providers will be required to provide to the FMA

13. 9 September 2022

    Feedback form regulatory returns for licensed Class 3 financial advice providers

    Feedback form for public consultation on the proposed regulatory returns that licensed Class 3 financial advice providers will be required to provide to the FMA

14. 9 September 2022

    Financial Markets Conduct NZX NZ Markets Disciplinary Rules Approval of Rule Change Notice 2022

    This notice is the Financial Markets Conduct (NZX NZ Markets Disciplinary Tribunal Rules) Approval of Rule Change Notice 2022.

15. 9 September 2022

    Proposed annual regulatory return information to be provided by licensed CLASS 3 FAPs to the FMA (questions)

    Proposed annual regulatory return information to be provided by licensed CLASS 3 Financial advice providers (FAPs) to the FMA