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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 96 of 108

  1. 31 March 2014

    Commerce Commission - MOU

    MOU concerning consultation, cooperation and the exchange of information between the FMA and the Commerce Commission
    Tags
    Regulatory cooperation, FMA
    Type
    PDF, MOU

  3. 1 March 2014

    Unsolicited Offers Monitoring Report 2014

    The Securities Markets (Unsolicited Offers) Regulations 2012 came into force on 1 December 2012, in response to concerns about ’low ball’ offers. FMA closely monitored compliance with the new regulations as one of our focus areas in 2013 for building customer trust. In this report we set out our findings and observations. These are based on our monitoring activities to 14 February 2014.
    Tags
    Compliance, Reports and Papers, Offer information, Business, News & Insights
    Type
    PDF

  4. 1 March 2014

    KiwiSaver schemes monitoring investment risk guidance

    This Guidance Note is designed to assist Trustees of retail non-restricted KiwiSaver schemes (Trustees), in performing their functions effectively.
    Tags
    KiwiSaver providers, Roles, Business, Managed investment schemes
    Type
    PDF, Guidance

  7. 11 February 2014

    ASX Ltd Financial Product Market Licence 2014

    New Zealand Financial Product Market Licence (Australian Securities Exchange Limited) 2014
    Tags
    Market operator, Roles, Licence, Licensing & registration, Business
    Type
    PDF

  8. 1 February 2014

    Broker Obligations guidance note

    The focus of this guidance is on custody of client money and client property, and the key obligation of brokers to hold client money and client property on trust.
    Tags
    Obligations, Client money or property services provider, Roles, Business
    Type
    PDF, Guidance

  9. 1 February 2014

    Investor experience of IPOs - research report

    This document explores attitudes towards investing in New Zealand’s financial markets, understand the experience of investing in New Zealand’s financial markets, understand the
    impact of offer documentation on investment decisions, and additionally, this research aims to provide profiling information on New Zealand investors. February 2014
    Tags
    Reports and Papers, Business, News & Insights
    Type
    PDF, Research

  13. 30 January 2014

    Expense disclosure CE gifts 2013 Jul Dec

    CE gifts and hospitality disclosure for the period 1 July 2013 - 31 December 2013
    Tags
    Chief Executive Gifts and Benefits Disclosure, FMA
    Type
    PDF

  15. 28 January 2014

    2014 Letter of Expectations

    The letter of expectation 2014 is delivered by the Minister to the FMA to formalise expectation of the FMA as a Crown entity.
    Tags
    Annual letter of expectations from the Minister, FMA
    Type
    PDF