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Financial Markets Conduct (NZX Rules) Approval of Rule Change Notice 2020 which aplies to Derivative Market Rules; NZX Participant Rules; Fonterra Share Market Listing Rules and NZ Markets Disciplinary Tribunal Rules.
Sentencing notes in the case against Pegasus Market Limited, 23 December 2020.
Consultation: This guidance note is for any person who gives regulated financial advice, and their advisers and interested parties. It seeks feedback on proposed recognition of certain Australian adviser qualifications.
OIA response, dated 15 October 2020, looking at the total number of non-public formal warnings issued until June 2020 and he calendar or reporting years in which these were issued
FMA defers AML reporting, insurer reviews, scheme reports, and consultation deadlines due to Covid-19 Alert Levels in Aug–Sept 2021.
This document is the Disclose Register for KiwiSaver fund updates for 30 September 2020
This document is the Disclose Register for MIS fund updates for 30 September 2020
This consultation is for: licensed auditors and registered audit firms, accredited bodies, and other interested parties. Itseek views from licensed auditors and registered audit firms on the proposed revocation of the Auditor Regulation Act (Prescribed Minimum Standards and Conditions for Licensed Auditors and Registered Audit Firms) Notice 2012 and Amendment Notice 2015, and introduction of the Auditor Regulation Act (Prescribed Minimum Standards and Conditions for Licensed Auditors and Registered Audit Firms) Notice 2020.
This notices approves changes to the NZX Listing Rules and allows NZX to amend the disclosure settings for direct listings under the NZX Listing rules dated 1 Jan 2020
The table provides a comprehensive list of the regulatory initiatives that are being deferred during the Covid-19 crisis.
Consultation: Draft minimum standards and licence conditions for crowd funding service providers.
Hits and myths is an introductory guide to investing by Mary Holm. It’s a quick guide for anyone who’s thinking about or already dabbling in investing – and wants to know more.
The report details the principal matters transacted under the Act during the year ended 30 June 2020, and contains the sixth annual summary of the statistical returns, required to be lodged by KiwiSaver schemes under section 125 of the Act.
An overview of the FMA’s supervision activities and findings from our monitoring reviews of regulated entities. This is our 2020 report.
Financial Markets Conduct (KiwiWRAP KiwiSaver Scheme) Exemption Notice 2020