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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 8 of 107

  1. 24 August 2023

    Exemption Notice- Financial Markets Conduct Times-7 Group

    The Financial Markets Conduct (Times-7 Group) Exemption Notice 2023 exempts Times-7 Holdings Limited and Times-7 Research Limited (together, the issuers) from compliance with the disclosure requirements of Part 3 of the Financial Markets Conduct Act 2013 (Act).
    Tags
    FMC Act, Exemptions, Legislation, Business
    Type
    PDF, Exemption notice

  2. 23 August 2023

    Regulatory returns questions for licensed MIS

    Annual regulatory return information to be provided by licensed MIS providers to the FMA.
    Tags
    Roles, Regulatory returns, Business, Managed investment schemes
    Type
    Word document, Information Sheet, Spreadsheet

  3. 22 August 2023

    Cigna - Settlement Agreement

    The Parties have agreed to settle all matters that were the subject of the Investigation on the terms set out in this Agreement.
    Tags
    Settlement, Enforcement
    Type
    PDF

  5. 17 August 2023

    AML/CFT Explanatory Note: Electronic Identity Verification Guideline

    This Explanatory Note: Electronic Identity verification Guideline replaces the previous Explanatory Note that was published by the Anti-Money Laundering and Countering Financing of Terrorism (AML/CFT) Supervisors in December 2017.
    Tags
    AML/CFT, Compliance, Roles, Reporting entities, Business
    Type
    PDF, Guidance

  10. 2 August 2023

    Class legislative notices summary 2023

    This is a summary of the Financial Markets Conduct Act class legislative notices we have granted
    (and are in force) as at 1 June 2023. It includes exemptions, designations, frameworks or
    methodologies, and public accountability notices.
    Tags
    FMC Act, Legislation, Business
    Type
    PDF, Notice

  11. 31 July 2023

    FMI Standards Guidance

    This guidance is intended to assist operators of Financial Market Infrastructures (FMIs), designated under the Financial Market Infrastructures Act 2021 (the Act), meet the requirements set out in the FMI Standards issued under section 31 of the Act
    Tags
    Financial market infrastructures, Roles, Business
    Type
    PDF

  12. 31 July 2023

    FMI Standards

    FMI standards for designated Financial Market Infrastructures.
    Tags
    Financial market infrastructures, Roles, Business
    Type
    PDF

  13. 31 July 2023

    Guidance note for overseas FMIs equivalence framework

    This guidance note sets out the ways the operator of an overseas FMI with a link to New Zealand can be designated under the Act, and our approach to applying standards to an operator of an overseas FMI.
    Tags
    Financial market infrastructures, Roles, Business
    Type
    PDF

  14. 31 July 2023

    Standard 1 Legal Basis

    Standard 1 Legal basis for designated Financial Market Infrastructures (FMIs).
    Tags
    Financial market infrastructures, Roles, Business
    Type
    PDF

  15. 31 July 2023

    Standard 10 Physical deliveries

    Standard 10 Physical deliveries for designated Financial Market Infrastructures (FMIs).
    Tags
    Financial market infrastructures, Roles, Business
    Type
    PDF