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Document Library

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

Found 1606 results. Displaying page 101 of 108

  1. 1 August 2013

    Westpac submission

    Submission from Westpac New Zealand Limited in response to the Consultation Paper: Practical implications of reporting entities transacting with other reporting entities, 8 Aug 2013
    Tags
    Consultations, Business
    Type
    PDF, Letter, Submission form

  2. 1 August 2013

    AML/CFT - wire transfers fact sheet

    The Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (the Act) contains a set of obligations for reporting entities to enhance the transparency of wire transfers. Wire transfers have been assessed in the National Risk Assessment as presenting a high risk of money laundering in New Zealand, which is consistent with experience overseas.
    Tags
    AML/CFT, Roles, Reporting entities, Business
    Type
    PDF, Fact sheet

  5. 30 July 2013

    Expense disclosure CE gifts 2013 jan jun

    CE gifts and hospitality disclosure for the period 1 January 2013 - 30 June 2013
    Tags
    Chief Executive Gifts and Benefits Disclosure, FMA
    Type
    PDF

  8. 12 July 2013

    consultation paper charitable and religious purposes exemption review

    In this paper we seek submissions on proposals relating to the review the Financial Markets Authority (FMA) is undertaking on the Securities Act (Charitable and Religious Purposes) Exemption Notice 2003 (SR 2003/66) (the CRP Notice), which is due to expire on 30 November 2013.
    FMA is reviewing the CRP Notice simultaneously with the Reserve Bank of New Zealand’s review of the appropriate treatment of charitable and religious organisations under the Non-bank Deposit Takers regime.
    Tags
    Consultations, Supervisor, Roles, Business
    Type
    PDF

  10. 1 July 2013

    FMA progress review stakeholder feedback report 2013

    This report is the result of a review conducted by Oliver Wyman focusing on stakeholder perspectives on achievements, short-comings and future priorities for New Zealand’s Financial Markets Authority. The report was published in July 2013
    Tags
    Reports and Papers, FMA, News & Insights
    Type
    PDF, Report

  11. 29 June 2013

    NZX Obligations Review 2013

    Under the FMC Act, we are required to review at least annually how well a licensed market operator is meeting its obligations, and to publish a written report. Broadly, these relate to the areas of operation that are regulatory in nature. Publishing the report provides transparency into our oversight of NZX. This report was published in 2013.
    Tags
    Market operator, Reports and Papers, Roles, Business, News & Insights
    Type
    PDF

  12. 13 June 2013

    Investigations and Enforcement Report 2013

    This report highlights the key issues and themes that have emerged through FMA’s investigations and enforcement activities from July 2012 to June 2013.
    Tags
    Reports and Papers, Monitoring, Business, News & Insights, Enforcement
    Type
    PDF

  14. 1 June 2013

    Auditor regulation and oversight plan 2013 2016

    Audits of FMC reporting entities’ financial statements are designed to increase investor confidence. One of the ways
    we ensure these audits are done well is by reviewing audits at registered audit firms. This plan is for the 2013-2016 period
    Tags
    Regulation, Reports and Papers, Auditors, Roles, Business, News & Insights
    Type
    PDF

  15. 1 June 2013

    Securities trustees and statutory supervisors monitoring guidance

    This guidance note is for licensed securities trustees and statutory supervisors. It sets out the Financial Market Authority’s (FMA) expectations of how they will carry out their monitoring functions effectively.
    Tags
    Reporting entities, Roles, Business, Supervisor
    Type
    PDF, Guidance