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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 89 of 108

  4. 30 January 2015

    Expense disclosure CE Gifts 2014 Jul Dec

    CE gifts and hospitality disclosure for the period 1 July 2014 - 31 December 2014.
    Tags
    Chief Executive Gifts and Benefits Disclosure, FMA
    Type
    PDF

  5. 15 January 2015

    Institute of Directors - Directors guide

    This guide from the IoD outlines some of the essential behaviours directors should demonstrate to meet legal, regulatory and ethical standards, and tells you where you can go to find out more.
    Tags
    Directors, Roles, Business
    Type
    PDF

  6. 13 January 2015

    2015 Letter from the Minister

    Annual letter from the Minister 2015.
    Tags
    Annual letter of expectations from the Minister, FMA
    Type
    PDF

  7. 19 December 2014

    Consultation Personalised DIMS response to submissions

    The table in this paper summarises the submissions made on our Consultation paper: Personalised DIMS under the Financial Advisers Act 2008 (“the Act”)
    released on 19 November 2014.
    Five written submissions were received. The FMA has considered all submissions and our response to the main issues is set out in the table below.
    Tags
    Discretionary investment management scheme (DIMS), Consultations, Roles, Business
    Type
    PDF

  8. 19 December 2014

    Response to submissions Consultation paper Personalised DIMS.1

    The table in this paper summarises the submissions made on our Consultation paper: Personalised DIMS under the Financial Advisers Act 2008 (“the Act”)
    released on 19 November 2014.
    Five written submissions were received. The FMA has considered all submissions and our response to the main issues is set out in the table below.
    Tags
    Discretionary investment management scheme (DIMS), Consultations, Roles, Business
    Type
    PDF

  10. 17 December 2014

    NZICA Accredited Bodies Report 2014

    This report contains the outcome of our assessment of
    the New Zealand Institute of Chartered Accountants
    (NZICA) for the period 1 July 2013 to 30 June 2014.
    Tags
    Reports and Papers, Auditors, Roles, Business, News & Insights
    Type
    PDF

  11. 10 December 2014

    Banking Ombudsman Scheme Limited - MOU

    MOU concerning consultation, cooperation and the exchange of information between the FMA and the Banking Ombudsman Scheme Limited
    Tags
    Regulatory cooperation, FMA
    Type
    PDF, MOU

  12. 3 December 2014

    Commerce Commission v ANZ - Settlement Agreement

    Settlement Agreement made with New Zealand Commerce Commission by ANZ Bank New Zealand Limited following an investigation into interest rate swaps transactions with rural customers between 2005 and 2009. 3 December 2014.
    Tags
    Type
    PDF