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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 1454 results. Displaying page 92 of 97

  1. 1 February 2013

    2013 FMA Compliance Focus

    This document outlines the Financial Markets Authority’s (FMA’s) priority areas for monitoring and surveillance in
    2013. It provides an opportunity for participants to assess their activities and take steps to improve behaviours and
    compliance controls in these areas.
    Tags
    Compliance, Reports and Papers, Monitoring, Business, FMA, News & Insights
    Type
    PDF

  2. 30 January 2013

    Expense disclosure CE 2012 jul dec

    CE gifts and hospitality disclosure for the period 1 July 2012 - 31 December 2012
    Tags
    Chief Executive Gifts and Benefits Disclosure, FMA
    Type
    PDF

  7. 21 December 2012

    121221 Guideline beneficial ownership

    This guideline is to assist reporting entities in meeting the requirement to perform customer due diligence on the customer and beneficial owners of the customer
    under sections 11-26 of the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (‘the Act’).
    Tags
    Roles, Reporting entities, Business
    Type
    PDF, Guidance

  8. 18 December 2012

    121218 Forsyth Barr settlement agreement

    Settlement Agreement with Credit Agricole Corporate and Investment Bank; Credit Sail Limited; Calyon Hong Kong Limited; Forsyth Barr Limited and Forsyth Barr Group Limited, 12 December 2012.
    Tags
    Settlement, Enforcement
    Type
    PDF

  9. 13 December 2012

    131212 mou fma italy aifmd 2013

    MOU concerning consultation, cooperation and the exchange of information related to the supervision of AIFMD entities between the FMA and the Commissione Nazionale per le Societa e la Borsa (Italy).
    Tags
    Regulatory cooperation, FMA
    Type
    PDF, MOU

  10. 7 December 2012

    121207 Class exemption review final consultation paper

    In this paper we provide an update and seek submissions on proposals relating to the review the Financial Markets Authority (FMA, or we) are undertaking on 17 class exemption notices - December 2012.
    Tags
    Exemptions, Business
    Type
    PDF

  13. 1 December 2012

    1212 Comcom Forsyth Barr settlement agreement

    Settlement Agreement with the Commerce Commission by Forsyth Bar Limited; Forsyth Barr Group Limited; Credit Agricole Corporate and Investment Bank; Credit Sall Limited; Calyone Hong Kong Limited. December 2012.
    Tags
    Settlement, Enforcement
    Type
    PDF

  14. 1 December 2012

    AML CFT Guideline issuers of securities and participants in issues

    This guideline is for businesses registered on the Financial Services Providers Register (FSPR) as an issuer of securities or who participate in issues of securities. If you are either of them, this guideline will help you to determine if you have obligations under the Anti-Money Laundering and Countering the Financing of Terrorism Act 2009 (AML/CFT Act).
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    PDF

  15. 1 December 2012

    AML CFT territorial scope of the AML CFT Act 2009

    This guideline is designed to assist businesses to determine whether they have obligations under the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (“the AML/CFT Act”).
    Tags
    AML/CFT, Roles, Reporting entities, Business
    Type
    PDF, Guidance