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1. 24 February 2015

   Reporting SIPO limit breaks Information sheet

   This information sheet outlines the reporting obligations of a Managed Investment Scheme (MIS) manager if there has been a limit break under its Statement of Investment Policy and Objectives (SIPO) under Part 4 of the Financial Markets Conduct Act 2013 (FMC Act).

2. 24 February 2015

   Exemption notice - Securities Act Augusta Funds Management Limited Southgate Proportionate Ownership Scheme

   Securities Act Augusta Funds Management Limited Southgate Proportionate Ownership Scheme Exemption Notice 2015

3. 20 February 2015

   Mark - Joseph Schroeder and Justin William Prain - Reserved Judgment

   Reserved Judgment of the District Court of Christchurch in the case against Mark Joseph Schroeder and Justin William Prain.

4. 20 February 2015

   Going Public - a directors guide

   FMA & IoD guide helps NZ directors evaluate going public & understand IPO processes without covering full legal obligations.

5. 19 February 2015

   FMA DIMS seminar presentation

   FMA seminar outlines definition of DIMS, DIMS types, licensing, contingency exemptions, and client agreement requirements for financial advisers.

6. 16 February 2015

   Westpac - Settlement Agreement

   Settlement agreement with Westpac New Zealand Limited; Westpac Banking Corporation regarding interest rate swaps sales to certain rural customers, 16 February 2015.

7. 15 February 2015

   Sean Wood - Reserved Judgment

   Reserved Judgment in the case against Sean Wood.

8. 30 January 2015

   Expense disclosure CE Gifts 2014 Jul Dec

   CE gifts and hospitality disclosure for the period 1 July 2014 - 31 December 2014.

9. 30 January 2015

   Expense disclosure CE Hospitality 2014 Jul Dec

   CE expenses disclosure for the period 1 July 2014 - 31 December 2013

10. 30 January 2015

    Expense disclosure CE 2014 Jul Dec

    CE expenses disclosure for the period 1 July 2014 - 31 December 2014

11. 30 January 2015

    Expense disclosure CE Travel 2014 Jul Dec

    CE expenses disclosure for the period 1 July 2014 - 31 December 2014

12. 15 January 2015

    Institute of Directors - Directors guide

    FMA & IoD guide offers NZ directors key legal duties, governance tips, and risk insights to navigate boardroom responsibilities.

13. 13 January 2015

    2015 Letter from the Minister

    Annual letter from the Minister 2015.

14. 19 December 2014

    Exemption Notice - Securities Act Heartland Bank Regulatory Capital

    Securities Act Exemption Notice 2014: Heartland Bank Regulatory Capital.

15. 19 December 2014

    Response to submissions Consultation paper Personalised DIMS.1

    Summarises FMA responses to industry feedback on proposed Personalised DIMS standards for AFAs under the Financial Advisers Act 2008.