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Document Library

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

Found 1609 results. Displaying page 37 of 108

  1. 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

  6. 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

  7. 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

  9. 16 December 2020

    Complying with the prohibition on the notice of trusts on registers

    This information sheet explains the FMA’s expectations in regards to how issuers of regulated products can comply with the prohibition on the notice of trusts being entered on the register that is required to be kept by the issuer.
    Tags
    Compliance, Derivative Issuer, Offer disclosure for equity and debt offers, Roles, Business
    Type
    PDF, Information Sheet

  10. 16 December 2020

    FMA Annual Report 2020

    The 2020 FMA Annual Report highlights our key work from the 2019/2020 financial year, including our response to the COVID-19 crisis, and a range of enforcement activity.
    Tags
    Type
    PDF, Annual report, Corporate publications

  11. 14 December 2020

    Disclosure framework for integrated financial products

    The disclosure framework for integrated financial services guidance note 2020 is relevant to issuers of financial products that
    incorporate non-financial factors.
    Tags
    Derivative Issuer, Financial Advice Provider, Roles, Business, Managed investment schemes, Peer-to-peer lending service providers
    Type
    PDF, Guidance

  15. 9 December 2020

    Overseas research reports 2020

    Research reports produced by overseas firms may be distributed by New Zealand advice firms to their retail clients. This information sheet discusses how this will be regulated under the Financial Markets Conduct Act 2013 from 15 March 2021.
    Tags
    Reports and Papers, Authorised body under a FAP, Client money or property services provider, Crowdfunding providers, Cryptocurrencies, Directors, Financial Advice Provider, Financial Adviser, Roles, Business, News & Insights
    Type
    PDF