Document Library

Found 1434 results. Displaying page 7 of 96

1. 10 October 2022

   Questions for FAP Class 2 regulatory returns

   Questions you will be asked online when you submit your FAP Class 2 regulatory return.

   https://www.fma.govt.nz/assets/Consultations/Questions-for-FAP-Class-2-regulatory-returns.docx (5.8 MB)

   Tags

   Financial Advice Provider, Consultations, Regulatory returns, Roles, Business

   Type

   Word document

2. 10 October 2022

   Feedback form FAP Class 2 Regulatory Returns consultation

   Feedback form for consultation - Class 2 FAP regulatory returns.

   https://www.fma.govt.nz/assets/Consultations/Feedback-form-FAP-Class-2-Regulatory-Returns-consultation.docx (17 KB)

   Tags

   Financial Advice Provider, Consultations, Roles, Business

   Type

   Word document, Feedback form

3. 10 October 2022

   Consultation FAP Class 2 regulatory returns

   This consultation is intended for Class 2 licensed financial advice providers (FAPs).

   https://www.fma.govt.nz/assets/Consultations/Consultation-FAP-Class-2-regulatory-returns.pdf (315 KB)

   Tags

   Financial Advice Provider, Consultations, Regulatory returns, Roles, Business

   Type

   PDF

4. 5 October 2022

   Climate risks and the impact on financial statement audits

   This document provides clarity for auditors about the expectations for information about climate risks in audit files.

   https://www.fma.govt.nz/assets/Guidance/Climate-risks-and-the-impact-on-financial-statement-audits.pdf (247 KB)

   Tags

   Auditors, Climate related disclosure, Roles, Ethical finance, Business

   Type

   PDF

5. 4 October 2022

   KiwiSaver Annual Report 2022

   KiwiSaver Annual Report published by the FMA 2022.

   https://www.fma.govt.nz/assets/Reports/KiwiSaver-Annual-Report-2022.pdf (863 KB)

   Tags

   KiwiSaver providers, Supervisor, Managed investment schemes, Roles, Business

   Type

   PDF

6. 3 October 2022

   Feedback form accounting records consultation

   Feedback form: consultation proposed guidance for keeping proper accounting records.

   https://www.fma.govt.nz/assets/Consultations/Feedback-form-accounting-records-consultation.docx (15 KB)

   Tags

   Auditors, Directors, Consultations, Roles, Business

   Type

   Word document, Financial reporting, Feedback form

7. 3 October 2022

   Consultation paper guidance accounting records

   Consultation paper: Proposed guidance and expectations for keeping proper accounting records

   https://www.fma.govt.nz/assets/Consultations/Consultation-paper-guidance-accounting-records.pdf (427 KB)

   Tags

   Auditors, Directors, Consultations, Roles, Business

   Type

   PDF, Financial reporting

8. 30 September 2022

   Judgment FMA v AIA New Zealand Ltd

   23 September 2022 The Auckland High Court ordered life insurer AIA to pay a pecuniary penalty of $700,000 for making false and/or misleading representations to some customers.

   https://www.fma.govt.nz/assets/Enforcement/Judgements/Judgment-FMA-v-AIA-New-Zealand-Ltd.pdf (346 KB)

   Tags

   Judgment, Enforcement

   Type

   PDF

9. 30 September 2022

   Climate related disclosure Record keeping initial monitoring approach

   FMA's initial monitoring approach for climate-related record keeping - to inform and support new climate reporting entities to meet their statutory reporting requirements.

   https://www.fma.govt.nz/assets/Information-sheets/Climate-related-disclosure-Record-keeping-initial-monitoring-approach.pdf (455 KB)

   Tags

   Ethical finance, Climate related disclosure, Business

   Type

   PDF

10. 29 September 2022

    Catalist market operator obligations review 2022

    This report covers the first market obligations review for Catalist, and covers the period from 21 June 2021, the licence commencement date, to 31 March 2022, the end of Catalist’s first reporting period.

    https://www.fma.govt.nz/assets/Reports/Catalist-market-operator-obligations-review-2022.pdf (907 KB)

    Tags

    Market operator, Reports and Papers, Roles, Business, News & Insights

    Type

    PDF

11. 29 September 2022

    World Investor Week 2022 checklist

    World Investor Week 2022 investing plan checklist.

    https://www.fma.govt.nz/assets/Consumer-section/World-Investor-Week-2022-checklist-.pdf (92 KB)

    Tags

    Consumer

    Type

    PDF

12. 27 September 2022

    Bonds Guide

    Bond voyage is a guide for investors on choosing, buying and owning bonds.

    https://www.fma.govt.nz/assets/Consumer-section/Bonds-Guide.pdf (641 KB)

    Tags

    Bonds, Ways to invest, Investing, Investor information, Consumer

    Type

    PDF

13. 27 September 2022

    Securities Industry Association submission

    Consultation submission from Securities Industry Association, 1 Aug 2013: Practical implications of factsheet on Managing Intermediaries feedback

    https://www.fma.govt.nz/assets/Consultations/Securities-Industry-Association-submission.pdf (155 KB)

    Tags

    Consultations, Business

    Type

    PDF, Submission form

14. 27 September 2022

    Consultation paper Client money or property service provider guidance

    Consultation on proposed guidance on the obligations for client money or property service providers.

    https://www.fma.govt.nz/assets/Consultations/Consultation-paper-Client-money-or-property-service-provider-guidance.pdf (485 KB)

    Tags

    Client money or property services provider, Consultations, Roles, Business

    Type

    PDF

15. 27 September 2022

    Feedback form Client money and property service guidance

    Feedback form for consultation client money and property services guidance.

    https://www.fma.govt.nz/assets/Consultations/Feedback-form-Client-money-and-property-service-guidance.docx (15 KB)

    Tags

    Client money or property services provider, Consultations, Roles, Business

    Type

    Word document, Feedback form