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A filtered search by topic for all guidance, reports or research documents stored on the FMA website.

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Found 1545 results. Displaying page 91 of 103

  1. 1 June 2014

    Declaration by current proposed director of licence applicant

    Declaration to be completed by current or proposed directors of a licence applicant for market services licences under the FMC Act 2013.
    Tags
    Directors, Roles, Declaration, Licensing & registration, Business
    Type
    Word document, Application form

  4. 1 June 2014

    FMA’s supervision of Anti-Money Laundering and Countering Financing of Terrorism

    This 2014 document outlines the Financial Markets Authority’s (FMA’s) priorities for monitoring reporting entities
    under the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (AML/CFT Act).
    Tags
    AML/CFT, Reports and Papers, Roles, Reporting entities, Business, News & Insights
    Type
    PDF

  5. 30 May 2014

    new governance and accountability framework for mis managers and their licensed supervisors 2014

    The FMC Act introduces an accountability framework for managed investment schemes (MIS).
    The requirements include a statutory duty of care on both managers and supervisors of managed investment schemes. Both must also act in the best interests of investors. Managers and supervisors need to have a clear
    understanding of their respective roles and understand they will be held to account for their actions.
    Tags
    Governance, Managed investment schemes, Supervisor, Roles, Business, FMA
    Type
    PDF, Information Sheet

  11. 30 April 2014

    Securities Trustees and Statutory Supervisors - Feedback from monitoring visits

    This monitoring report and the guidance issued by us in June 2013 on Monitoring by Securities Trustees and Statutory Supervisors have been designed to help licensees move towards best standards of compliance.
    Tags
    Reports and Papers, Independent trustee, Roles, Business, News & Insights, Supervisor
    Type
    PDF

  12. 7 April 2014

    Disclosure of fees paid to auditors by listed issuers 2014

    As part of our thematic review, we reviewed the disclosure of fees paid to the external auditors of a sample of
    listed issuers for balance dates in 2012. This report summarises our findings and the concerns we have about the current quality of disclosure of audit and non-audit fees.
    Tags
    Reports and Papers, Auditors, Roles, Business, News & Insights
    Type
    PDF

  13. 1 April 2014

    FMA’s new role as regulator of conduct

    From 1 April 2014 FMA replaces the Commerce Commission as the primary regulator of conduct in relation to financial products and services. Find out what this means.
    Tags
    FMC Act, Legislation, Regulation update, Business, FMA
    Type
    PDF, Notice

  14. 31 March 2014

    Commerce Commission - MOU

    MOU concerning consultation, cooperation and the exchange of information between the FMA and the Commerce Commission
    Tags
    Regulatory cooperation, FMA
    Type
    PDF, MOU