Document Library

Found 1600 results. Displaying page 1 of 107

1. 19 April 2024

   Exemption Notice 2024 - Financial Markets Conduct Goldman Sachs

   Financial Markets Conduct (Goldman Sachs) Exemption Notice 2024

   Tags

   Type

   PDF, Exemption notice

2. 18 April 2024

   Regulatory Impact Statement CRD exemptions for foreign listed issuers

   Regulatory Impact Statement (RIS) document for Exemptions for foreign listed issuers from climate reporting

   Tags

   RIS, Climate Reporting Entities, Business

   Type

   PDF

3. 15 April 2024

   Exemption Notice 2024 - Todd Family Office Limited Financial Reporting

   Exemption Notice 2024 - Todd Family Office Limited Financial Reporting

   Tags

   Type

   PDF, Exemption notice

4. 11 April 2024

   Consultation paper: Proposed exemptions for UK pension transfer advice

   Have your say on proposed exemptions for UK firms giving financial advice to New Zealand clients on UK pension transfers.

   Tags

   Type

   PDF, Consultation

5. 11 April 2024

   Feedback form Proposed exemptions for UK pension transfer advice

   Please submit this feedback form electronically in MS Word format and email it to us at [email protected] with ‘Proposed exemptions for advice on United Kingdom law aspects of defined benefit pension transfers: [your organisation’s name]’ in the subject line. Thank you.

   Tags

   Type

   Word document, Consultation

6. 11 April 2024

   Guidance Notification of incidents relating to the operational resilience of technology systems

   Notification of incidents relating to the operational resilience of technology systems

   Tags

   Type

   PDF, Guidance

7. 8 April 2024

   Submissions report: Standard condition on business continuity and technology systems

   Submissions report: Standard condition on business continuity and technology systems

   Tags

   Type

   PDF

8. 8 April 2024

   Standard Conditions for Peer to peer

   If you are granted a peer-to-peer (P2P) lending service licence, the licence will be subject to the following conditions.

   Tags

   Standard conditions, Roles, Licensing & registration, Business, Peer-to-peer lending service providers

   Type

   PDF

9. 8 April 2024

   Standard Conditions for DIMS

   DIMS standard conditions, updated April 2024 explains the systems and procedures to maintain relevant records pertaining to your market service and the records you must provide to the FMA to enable us to monitor your on- going capability to effectively perform the DIMS in accordance with the applicable eligibility criteria in the Act.

   Tags

   Discretionary investment management scheme (DIMS), Standard conditions, Roles, Licensing & registration, Business

   Type

   PDF

10. 8 April 2024

    Standard conditions for MIS

    If the FMA grants you a licence to act as a manager of a non-restricted and registered managed investment
    scheme (MIS manager licence), the licence will be subject to conditions set out in section 402 of the
    Financial Markets Conduct Act 2013 (FMC Act).
    

    Tags

    Standard conditions, Roles, Licensing & registration, Business, Managed investment schemes, Supervisor

    Type

    PDF

11. 8 April 2024

    Standard Conditions for Crowd Funding

    If you are granted a crowdfunding service licence, the licence will be subject to these standard conditions.

    Tags

    Crowdfunding providers, Standard conditions, Roles, Licensing & registration, Business

    Type

    PDF

12. 8 April 2024

    Regulatory impact statement Standard condition on business continuity and technology systems

    Regulatory Impact Statement: Operational resilience condition for certain market services licence holders under Part 6 of the Financial Markets Conduct Act 2013.

    Tags

    RIS, Business

    Type

    PDF

13. 8 April 2024

    Standard Conditions for derivatives issuers

    If the FMA grants you a derivatives issuer licence under section 396 of the FMC Act, the licence will be subject to conditions detailed in this document.

    Tags

    Derivative Issuer, Standard conditions, Roles, Licensing & registration, Business

    Type

    PDF

14. 4 April 2024

    Financial Markets Conduct Clearwater Golf Club Limited Exemption Notice 2024

    Clearwater Golf Club Limited (Clearwater) is exempted from Part 7 of the Financial Markets Conduct Act 2013 (the FMC Act). The Exemption Notice is subject to conditions which together replicate the financial reporting, auditing and annual reporting requirements under the Companies Act 1991.

    Tags

    Type

    PDF, Exemption notice

15. 2 April 2024

    Consultation paper Proposed exemption for green bonds

    Consultation paper Proposed exemption for green bonds

    Tags

    Consultations, Ethical finance, Climate Reporting Entities, Offer disclosure for equity and debt offers, Roles, Business

    Type

    PDF