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Exemption Notice - Financial Markets Conduct (Liberty Financial Group)

Financial Markets Conduct (Liberty Financial Group) Exemption Notice 2021

Self assessment tool cyber security and BCP

Planning for all types of risk is an essential part of any business. As a financial advice provider, clients rely on you to ensure their information is secure, confidential, and available at all times. By taking the time to prepare for the unexpected, you’ll be able to get back on your feet quickly, protecting both your clients and your business. Use this self-assessment tool to see if you’re ready to complete the cyber security and business continuity planning section of your Class 1 or Class 2 FAP full licence application. It should help you identify areas of strength or weakness in your full licence preparation so you can seek further help or advice and address any gaps before you apply. *

Du Val Group NZ Limited - Direction Order

FMA Direction Order to Du Val Group NZ Limited, 4 October 2021.

30 September 2021 Disclose Register KiwiSaver fund updates

This document is the Disclose Register for KiwiSaver fund updates for 30 September 2021

30 September 2021 Disclose Register KiwiSaver fund updates

AML/CFT monitoring insights report 2021

Insights from the FMA’s monitoring of New Zealand’s anti-money laundering and countering financing of terrorism measures by FMA reporting entities from 1 July 2018 – 30 June 2021

KiwiSaver Annual Report 2021

The report details the principal matters transacted under the Act during the year ended 30 June 2021, and contains the sixth annual summary of the statistical returns, required to be lodged by KiwiSaver schemes under section 125 of the Act.

OIAP Short selling of shares

OIAP Response dated 23 September 2021, Short selling of shares - Request asking if the FMA investigated short selling of industry shares impacted by Covid

Review of credit card repayment insurance products

In our 2019 Life Insurer Conduct and Culture review, we found that “certain products often provided poor value, and consequently poor outcomes for customers, because of limited benefits, and misunderstanding of coverage and eligibility”. We carried out this additional review to gain a better understanding of the suitability of CCRI for consumers. While most providers have withdrawn CCRI products from sale, there are still several hundred thousand existing policies, whose holders may not need or understand the product and are at risk of experiencing poor outcomes if they need to make a claim.

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Document Library

Exemption Notice - Financial Markets Conduct (Liberty Financial Group)

Self assessment tool cyber security and BCP

Du Val Group NZ Limited - Direction Order

30 September 2021 Disclose Register KiwiSaver fund updates

30 September 2021 Disclose Register KiwiSaver fund updates

AML/CFT monitoring insights report 2021

KiwiSaver Annual Report 2021

OIAP Short selling of shares

Review of credit card repayment insurance products

Exemption Notice - BNP Paribas

SGX-DT, Singapore Exchange Derivatives Trading Market Operator 2021

OIAP Law Commission submission

Samantha Barrass bio

Exemption Notice - Financial Markets Conduct (Firefly Resources Limited)

OIAP Insider trading misconduct statistics