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Document Library

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

Found 1604 results. Displaying page 36 of 107

  5. 17 February 2021

    NZX Derivatives Market Rules Approval of Rule Change Notice Feb 2021

    Pursuant to section 331 of the Act, the FMA approves changes to the NZX Derivatives Market Rules in accordance with the proposed amendments provided for approval by NZX to the FMA on 22 December 2020.
    Tags
    Regulation updates, Derivative Issuer, Roles, Business
    Type
    PDF, Notice

  6. 12 February 2021

    ANZ Bank New Zealand Limited - High Court Judgment

    On 4 June 2020 the Financial Markets Authority (“FMA”) filed civil proceedings against ANZ Bank New Zealand Limited (“ANZ”) alleging various breaches of the Financial Markets Conduct Act 2013 (“the Act”). This is the High Court Judgment.
    Tags
    Court decision, Enforcement
    Type
    PDF

  7. 27 January 2021

    Market Operator Obligations Targeted Review NZX

    As a licensed market operator, NZX is required to meet certain general obligations imposed under section 314 of the
    Financial Markets Conduct Act 2013 (FMC Act).
    One of those obligations requires NZX to have sufficient technological resources to operate its licensed markets
    properly. This includes ensuring, to the extent reasonably practicable, the availability, security, capacity and
    maintenance of its trading platforms, settlement systems, internal market monitoring systems and other related
    systems.
    Tags
    Market operator, Reports and Papers, Monitoring, Roles, Business, News & Insights
    Type
    PDF

  8. 19 January 2021

    ASX24 Obligations Review 2020

    Australian Securities Exchange Limited (ASX 24) is licensed to operate the ASX 24 derivatives market (derivatives
    market) in New Zealand. The FMA is required to report at least once every two years1 on how well ASX 24 is meeting
    its licensed market operator obligations. This review covers the period 1 July 2018 to 30 June 2020. T
    Tags
    Monitoring, Reports and Papers, Market operator, Roles, Business, News & Insights
    Type
    PDF

  9. 18 January 2021

    Consulation Review of wholesale investor exclusion exemption

    This consultation is for all interested people including wholesale investors, banks, brokers, issuers and legal advisers. It seeks feedback to inform our review of the
    Financial Markets Conduct (Wholesale Investor Exclusion - $750,000 Minimum Investment) Exemption Notice 2017.
    Tags
    Offer disclosure for equity and debt offers, Managed investment schemes, Consultations, Roles, Supervisor, Business
    Type
    PDF

  14. 18 December 2020

    NZICA accredited body report 2020

    This report contains the findings of our monitoring assessment of the New Zealand Institute of Chartered Accountants
    (NZICA) for the period 1 July 2019 to 30 June 2020.
    Tags
    Monitoring, Reports and Papers, Auditors, Roles, Business, News & Insights
    Type
    PDF

  15. 18 December 2020

    PTT Limited - High Court Decision

    High Court Judgment in the case against PTT Limited, Maxwell Foster Limited and Gibson Mcleod Limited, 18 December 2020.
    Tags
    Type
    PDF