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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 88 of 107

  1. 1 March 2015

    RBNZ designation and oversight of designated settlement system

    This document explains Part 5C of the Reserve Bank of New Zealand Act 1989 and the roles and policies of the Reserve Bank and the Financial Markets Authority in relation to the designation and oversight of designated settlement systems.
    Tags
    Market operator, Regulation, Roles, Business
    Type
    PDF

  2. 27 February 2015

    Issuers registers of regulated products and the FMAs discretion under section 224

    This information sheet outlines the requirements relating to issuers’ registers of regulated products under Subpart 4 of Part 4 of the Financial Markets Conduct Act 2013 (FMC Act). It also sets out how the FMA will exercise its discretion to authorise an issuer to decline a request for a copy of a register under section 224 of the FMC Act.
    Tags
    Derivative Issuer, Offer disclosure for equity and debt offers, Roles, Business
    Type
    PDF, Information Sheet

  3. 24 February 2015

    Custodians of managed investment schemes information sheet

    This information sheet outlines the duties and responsibilities under the Financial Markets Conduct Act 2013 (FMC Act) for custodians of registered managed investment schemes.
    Tags
    Client money or property services provider, Roles, Business, Managed investment schemes
    Type
    PDF, Information Sheet

  5. 24 February 2015

    Reporting SIPO limit breaks Information sheet

    This information sheet outlines the reporting obligations of a Managed Investment Scheme (MIS) manager if there has been a limit break under its Statement of Investment Policy and Objectives (SIPO) under Part 4 of the Financial Markets Conduct Act 2013 (FMC Act).
    Tags
    Roles, Business, Managed investment schemes, Supervisor
    Type
    PDF, Information Sheet

  9. 20 February 2015

    Going Public - a directors guide

    This guide is intended to help directors assess whether going public is the right choice for their company and provide an insight into the process of becoming a public company. It is not a comprehensive account of the legal obligations of directors during an initial public offering (IPO).
    Tags
    Directors, Roles, Business
    Type
    PDF, Guidance

  11. 16 February 2015

    Westpac - Settlement Agreement

    Settlement agreement with Westpac New Zealand Limited; Westpac Banking Corporation regarding interest rate swaps sales to certain rural customers, 16 February 2015.
    Tags
    Settlement, Enforcement
    Type
    PDF

  12. 15 February 2015

    Sean Wood - Reserved Judgment

    Reserved Judgment in the case against Sean Wood.
    Tags
    Cases, Court decision, Enforcement
    Type
    PDF