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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 91 of 108

  2. 1 December 2014

    Exemptions under Financial Advisers Act 2008 guidance

    This guidance note explains the our approach to granting exemptions under the Financial Advisers Act 2008. It is intended to provide answers to commonly asked questions in relation to exemptions and to provide information to potential applicants on the process for making an application.
    Tags
    Financial Adviser, Auditors, Directors, Exemptions, Roles, Business, Supervisor
    Type
    PDF

  3. 1 December 2014

    Exemptions: Financial Advisers Act 2008 guidance note

    This guidance note explains the approach of the Financial Markets Authority (the FMA) to granting exemptions under the Financial Advisers Act 2008. It is intended to provide answers to commonly asked questions in relation to exemptions and to provide information to potential applicants on the process for making an application.
    Tags
    Type
    PDF, Guidance

  4. 1 December 2014

    FMA's review of market disclosures

    This report was first published by the Financial Markets Authority (FMA) in June 2013 and discusses
    disclosure obligations under the SMA. These disclosure obligations now fall under the FMC Act and
    are largely unchanged, therefore the findings and observations contained in this report remain
    relevant.
    Tags
    Reports and Papers, Directors, Roles, Business, News & Insights
    Type
    PDF

  8. 30 November 2014

    Audit Quality Monitoring report 2014

    The Audit Quality Review Report 1 July 2013-30 June 2014 provides an overview of the outcomes of the audit quality review activities of the Financial Markets Authority (FMA)
    Tags
    Reports and Papers, Auditors, Roles, Business, News & Insights
    Type
    PDF

  10. 30 November 2014

    Financial regulation and registration requirements for marinas information sheet

    The Financial Markets Conduct Act 2013 (FMC Act) changes the way interests in marinas are regulated. Marinas will generally not be regulated under the FMC Act and will no longer need to register on the Financial Service Providers Register. Published November 2014.
    Tags
    Roles, Offer information, Business, Supervisor
    Type
    PDF, Information Sheet, Guidance

  14. 10 November 2014

    Gentrack IPO Report November 2014

    This report published in 2014 describes our conclusions following a review of matters arising out of Gentrack’s initial public offering (IPO) of shares and its disclosure at the time of the IPO. Our review has not covered matters
    relating to Gentrack’s continuous disclosure obligations under the Securities Markets Act 1988 or the NZX
    listing rules. These matters have been reviewed by NZX.
    Tags
    Reports and Papers, Investigations, News & Insights, Enforcement
    Type
    PDF

  15. 9 November 2014

    Consultation paper personalised DIMS under the FA Act 2008

    Consultation Paper - 19 November 2014 - The Financial Markets (Repeals and Amendments) Act 2013 introduces amendments to the Financial Advisers Act 2008 (the FA Act). This means for a person to be authorised to provide a Personalised DIMS they must meet the prescribed eligibility criteria.
    Tags
    Discretionary investment management scheme (DIMS), Consultations, Roles, Business
    Type
    PDF