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Document Library

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

Found 1611 results. Displaying page 100 of 108

  1. 1 November 2013

    Future of Financial Markets Report 2013

    In this paper, the FMA sets out the changes to be implemented will be when the Financial Markets Conduct (FMC) Act comes into force.
    Tags
    Reports and Papers, FMC Act, Legislation, Business, News & Insights
    Type
    PDF, Paper

  2. 1 November 2013

    A Guide to the Financial Markets Conduct Act 2013 Reforms

    This Guide explains the purposes of the Financial Markets Conduct (FMC) Act 2013 and how it fits in with other
    financial markets reforms. There is also a big picture view of the main reforms included in the FMC Act.
    Tags
    FMC Act, Regulation, Legislation, Business
    Type
    PDF, Paper

  4. 15 October 2013

    FMP Medical Services Limited - order

    Notice of orders to FMP Medical Services Limited cancelling registration of prospectus and prohibiting distribution of investment statement 15 October 2013
    Tags
    Enforcement
    Type
    PDF

  5. 1 October 2013

    KiwiSaver Report 2013

    The report details the principal matters transacted under the Act during the year ended 30 June 2013, and contains the sixth annual summary of the statistical returns, required to be lodged by KiwiSaver schemes under section 125 of the Act.
    Tags
    Monitoring, Reports and Papers, KiwiSaver providers, Supervisor, Managed investment schemes, Roles, Business, News & Insights
    Type
    PDF

  6. 1 October 2013

    Clear, Concise and Effective Disclosure? - Report 2013

    In this report we outline our findings and observations to help issuers and their advisers understand our expectations of ‘clear, concise and effective’ disclosure. Published in October 2013.
    Tags
    Reports and Papers, Business, News & Insights
    Type
    PDF

  7. 30 September 2013

    Monitoring of non-GAAP disclosures response to guidance note

    In this review we assessed the market’s response to the guidance note to gain an early indication of whether disclosures around non-GAAP (generally accepted accounting principles) financial information are improving.
    Tags
    Reporting entities, Business
    Type
    PDF, Guidance

  8. 1 September 2013

    Superannuation Schemes Report 2013

    This report has been prepared in accordance with section 28 of the Act and details the principal matters transacted under the Act for the year ended 30 June 2013.
    This report is solely in respect of registered superannuation schemes and does not include any KiwiSaver scheme data. There is a separate report prepared for KiwiSaver schemes in respect of the year ended 30 June 2013.
    Tags
    Reports and Papers, Roles, Business, Managed investment schemes, News & Insights, Supervisor
    Type
    PDF, Report

  9. 30 August 2013

    NZ Council of Victim Support Groups - MOU

    MOU concerning consultation, cooperation and the exchange of information between the FMA and New Zealand Council of Victim Support Groups
    Tags
    Regulatory cooperation, FMA
    Type
    PDF, MOU

  11. 1 August 2013

    Harbour submission

    Submission in response to consultation by Harbour.
    Tags
    Consultations, AML/CFT, Roles, Business
    Type
    PDF, Letter

  12. 1 August 2013

    Guardian Trust submission

    Submission made on behalf of The New Zealand Guardian Trust Company Limited in response to the consultation paper 'Practical Implications of Reporting Entitie transacting with other Reporting Entities and the Factsheet.
    Tags
    Consultations, Supervisor, Roles, Business
    Type
    PDF

  13. 1 August 2013

    Kensington Swan Lawyers submission

    Response to consultation paper from Kensington Swan, 1 Aug 2013: Practical implications of Reporting Entities transacting with other Reporting Entities and the Factsheet on Managing Intermediaries.
    Tags
    Consultations, Business
    Type
    PDF, Letter

  14. 1 August 2013

    New Zealand Bankers Association submission

    Response to consultation, New Zealand Bankers Association, 3 Aug 2013: Draft factsheet on managing intermediaries
    Tags
    Consultations, Business
    Type
    PDF, Letter

  15. 1 August 2013

    Consultation submission Buddle Findlay

    Submission on Consultation Paper: Practical Implications of reporting entities transacting with other reporting entities and the factsheet on managing intermediaries
    Tags
    Consultations, Business
    Type
    PDF, Letter, Submission form