Document Library

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


Found 1588 results. Displaying page 93 of 106

  1. 1 July 2014

    Financial Dispute Resolution Scheme - MOU

    MOU concerning consultation, cooperation and the exchange of information between the FMA and Fairway Resolution Limited trading as Financial Dispute Resolution Scheme
    Tags
    Regulatory cooperation, FMA
    Type
    PDF, MOU
  2. 1 July 2014

    Serious Fraud Office (SFO) - MOU

    MOU concerning consultation, cooperation and the exchange of information between the FMA and the Serious Fraud Office
    Tags
    Regulatory cooperation, FMA
    Type
    PDF, MOU
  3. 30 June 2014

    Going Concern disclosures in financial statements

    The purpose of this 2014 report is to inform market participants of the findings of our review and highlight areas of concern.
    Tags
    Reports and Papers, Auditors, Directors, Roles, Business, News & Insights
    Type
    PDF, Financial reporting
  4. 29 June 2014

    NZX Obligations Review 2014

    NZX, as New Zealand’s only Registered Exchange, is
    an essential part of New Zealand’s financial markets.
    The General Obligations Review provides FMA with
    the opportunity to report on the adequacy of the
    arrangements NZX had in place to comply with its
    obligations during a particular review period, and to
    identify issues that, in FMA’s view, would assist NZX to
    ensure its continued compliance.
    Tags
    Reports and Papers, Market operator, Roles, Business, News & Insights
    Type
    PDF
  5. 18 June 2014

    Licensing guide - small DIMS businesses

    This guide supplements our main licensing application guide. It outlines how a small business providing lower risk Discretionary Investment Management Services (DIMS) can approach an
    application for a DIMS licence under the Financial Markets Conduct Act 2013 (FMC Act).
    Tags
    Discretionary investment management scheme (DIMS), Licence guide, Roles, Licensing & registration, Business
    Type
    PDF
  6. 1 June 2014

    Auditor regulation and oversight plan 2014 2017

    Audits of FMC reporting entities’ financial statements are designed to increase investor confidence. One of the ways
    we ensure these audits are done well is by reviewing audits at registered audit firms. This plan is for the 2014-2017 period
    Tags
    Regulation, Reports and Papers, Auditors, Roles, Business, News & Insights
    Type
    PDF
  7. 1 June 2014

    Certificate of compliance and authority to apply applicant or their authorised person

    Certification of Applicant's compliance with requirements and authority to apply for market service licence under Part 6 of the FMC Act 2013. This is relevant to Crowd funding; Peer-to-peer; MIS; DIMS; derivative issuers and independent trustee applicants.
    Tags
    Crowdfunding providers, Derivative Issuer, Discretionary investment management scheme (DIMS), Independent trustee, Managed investment schemes, Peer-to-peer lending service providers, Roles, Business
    Type
    Word document, Application form
  8. 1 June 2014

    Investor Confidence Research 2014

    The Investor confidence Research report 2014 measures attitudes towards and investment in New Zealand’s financial markets. The research was carried out online using Colmar Brunton’s omnibus.
    Tags
    Monitoring, Reports and Papers, Business, News & Insights
    Type
    PDF, Research
  9. 1 June 2014

    Declaration by independent trustee individual

    Declaration form to be completed by individual independent trustees.
    Tags
    Independent trustee, Roles, Licensing & registration, Declaration, Business
    Type
    Word document, Application form
  10. 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