Back

Document Library

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

Close advanced search

Found 1454 results. Displaying page 95 of 97

  1. 1 December 2011

    identity verification code of practice aml cft 2011

    The Identity Verification Code of Practice was approved by notice in the New Zealand Gazette on the 1st day of September 2011 by the Ministers of Finance, Commerce
    and Internal Affairs under section 64 of the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (AML/CFT Act). This code of practice comes into
    force on 30 June 2013.
    Tags
    AML/CFT, Roles, Reporting entities, Business
    Type
    PDF

  2. 1 November 2011

    Draft guidance note kiwisaver performance fees 2011

    This guidance note is designed to provide the Managers and Trustees of KiwiSaver schemes with a basis on which they can determine whether any performance fees that are proposed to be charged, or are chanrged, either directly or indirectly to a member's investment in the Scheme can be considered "not reasonable".
    Tags
    KiwiSaver providers, Managed investment schemes, Roles, Business
    Type
    PDF, Guidance

  4. 5 October 2011

    2011 Superannuation schemes report

    The FMA’s role is to actively engage with trustees of superannuation schemes to ensure that the trustees are complying with the Act. If a matter comes to our attention, we will enquire whether a superannuation scheme is operating in accordance with the Act, under our powers specified in Part 3 of the Financial Markets Authority Act 2011. This is the 2011 report.
    Tags
    Reports and Papers, KiwiSaver providers, Supervisor, Managed investment schemes, Roles, Business, News & Insights
    Type
    PDF

  5. 1 October 2011

    KiwiSaver Report 2011

    The report details the principal matters transacted under the Act during the year ended 30 June 2011, and contains the sixth annual summary of the statistical returns, required to be lodged by KiwiSaver schemes under section 125 of the Act.
    Tags
    Monitoring, Reports and Papers, KiwiSaver providers, Supervisor, Managed investment schemes, Roles, Business, News & Insights
    Type
    PDF

  7. 1 August 2011

    Expense disclosure CE 2011

    CE travel expenses for the period 1 May 2011 - 30 June 2011
    Tags
    Executive expenses, FMA
    Type
    PDF

  9. 27 June 2011

    NZX Obligations Review 2011

    Under the FMC Act, we are required to review at least annually how well a licensed market operator is meeting its obligations, and to publish a written report. Broadly, these relate to the areas of operation that are regulatory in nature. Publishing the report provides transparency into our oversight of NZX. This report was published in 2011.
    Tags
    Market operator, Reports and Papers, Roles, Business, News & Insights
    Type
    PDF

  10. 12 May 2011

    120511 Carrington Securities judgment

    High Court Judgment in the case between Securities Commission (FMA)and Carrington Securities LP, 12 May 2011.
    Tags
    Court decision, Enforcement
    Type
    PDF

  11. 24 March 2011

    whimp interim order March 2011

    The High Court, on application from the Securities Commission, has granted interim injunctions to stop shares being transferred to limited partnerships associated with Mr Bernard Whimp.
    Tags
    Type
    PDF

  14. 1 March 2011

    AML/CFT sector risk assessment report 2011

    Our Sector Risk Assessment (SRA) helps us and the REs
    we supervise understand the risks of money-laundering
    (ML) and terrorism financing (TF) in each sector.
    Tags
    AML/CFT, Monitoring, Reports and Papers, Roles, Reporting entities, Business, News & Insights
    Type
    PDF

  15. 1 March 2011

    Good character and criminal convictions faa 2008 guidance note

    The guidance note is intended to answer some of the queries the Commission has received regarding the assessment of good character, as well as provide further guidance on the information applicants need to provide to the Commission in relation to criminal convictions.
    Tags
    Financial Adviser, Conduct, Roles, Business
    Type
    PDF, Guidance