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

Found 1606 results. Displaying page 9 of 108

  1. 2 August 2023

    Class legislative notices summary 2023

    This is a summary of the Financial Markets Conduct Act class legislative notices we have granted
    (and are in force) as at 1 June 2023. It includes exemptions, designations, frameworks or
    methodologies, and public accountability notices.
    Tags
    FMC Act, Legislation, Business
    Type
    PDF, Notice

  2. 31 July 2023

    FMI Standards Guidance

    This guidance is intended to assist operators of Financial Market Infrastructures (FMIs), designated under the Financial Market Infrastructures Act 2021 (the Act), meet the requirements set out in the FMI Standards issued under section 31 of the Act
    Tags
    Financial market infrastructures, Roles, Business
    Type
    PDF

  3. 31 July 2023

    FMI Standards

    FMI standards for designated Financial Market Infrastructures.
    Tags
    Financial market infrastructures, Roles, Business
    Type
    PDF

  4. 31 July 2023

    Guidance note for overseas FMIs equivalence framework

    This guidance note sets out the ways the operator of an overseas FMI with a link to New Zealand can be designated under the Act, and our approach to applying standards to an operator of an overseas FMI.
    Tags
    Financial market infrastructures, Roles, Business
    Type
    PDF

  5. 31 July 2023

    Standard 1 Legal Basis

    Standard 1 Legal basis for designated Financial Market Infrastructures (FMIs).
    Tags
    Financial market infrastructures, Roles, Business
    Type
    PDF

  6. 31 July 2023

    Standard 10 Physical deliveries

    Standard 10 Physical deliveries for designated Financial Market Infrastructures (FMIs).
    Tags
    Financial market infrastructures, Roles, Business
    Type
    PDF

  7. 31 July 2023

    Standard 11 Central securities depositories

    Standard 11 Central securities depositories for designated Financial Market Infrastructures (FMIs).
    Tags
    Financial market infrastructures, Roles, Business
    Type
    PDF

  10. 31 July 2023

    Standard 14 Segregation

    Standard 14 Segregation for designated Financial Market Infrastructures (FMIs).
    Tags
    Financial market infrastructures, Roles, Business
    Type
    PDF

  11. 31 July 2023

    Standard 15 General business risk

    Standard 15 General business risk for designated Financial Market Infrastructures (FMIs).
    Tags
    Financial market infrastructures, Roles, Business
    Type
    PDF

  12. 31 July 2023

    Standard 16 Custody and Investment Risks

    Standard 16 Custody and Investment Risks for designated Financial Market Infrastructures (FMIs).
    Tags
    Financial market infrastructures, Roles, Business
    Type
    PDF

  13. 31 July 2023

    Standard 17 Operational risk

    Standard 17 Operational risk for designated Financial Market Infrastructures (FMIs).
    Tags
    Financial market infrastructures, Roles, Business
    Type
    PDF

  14. 31 July 2023

    Standard 17A Contingency plans

    Standard 17A Contingency plans for designated Financial Market Infrastructures (FMIs).
    Tags
    Financial market infrastructures, Roles, Business
    Type
    PDF

  15. 31 July 2023

    Standard 17B Critical service providers

    Standard 17B Critical service providers for designated Financial Market Infrastructures (FMIs).
    Tags
    Financial market infrastructures, Roles, Business
    Type
    PDF