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Found 153 results. Displaying page 7 of 11

1 June 2014

Curriculum vitae of management team member of licence applicant

Form to be completed with details of the Curriculum vitae of management team members of a licence applicant for all applications under the FMC Act 2013.
1 August 2013

Kensington Swan Lawyers submission

Response to consultation paper from Kensington Swan, 1 Aug 2013: Practical implications of Reporting Entities transacting with other Reporting Entities and the Factsheet on Managing Intermediaries.
8 June 2016

Financial Markets Conduct - Tonga Development Bank Ave Paanga Pau Vouchers Designation Notice 2016

This notice declares that the Ave Pa'anga Pau Vouchers issued by Tonga Development Bank are not a financial product for the purposes of the FMC Act 2013.
17 June 2014

NZ Markets Disciplinary Tribunal Rules - Approval of market rules notice 2014

This notice allows for NZX to replace the NZ Markets Disciplinary Tribunal Rules dated 5 March 2013 with the NZ Markets Disciolinary Tribunal Rules dated 31 Jan 2014
28 May 2014

Fonterra Shareholders' Market Rules - Approval of market rules notice 2014

This notice comes into force on 28 May 2014. The notice allows NZX to replace FSM Rules dated 14 May 2013 with FSM rules dated 1 April 2014
1 May 2014

Governance and accountability framework for restricted schemes and their trustees information sheet

The Financial Markets Conduct (FMC) Act 2013 changes the governance and accountability framework for financial products. Find out what these changes mean for restricted schemes and their trustees.
1 May 2014

Governance and accountability framework for debt issuers and their licensed supervisors

The Financial Markets Conduct Act 2013 changes the governance and accountability framework for financial products. Find out what these changes mean for debt issuers and their licensed supervisors.
25 July 2024

Guide for providers of client money or property services

This document is for providers of client money or property services and custodians. It gives guidance on how they can meet their obligations under the Financial Markets Conduct Act 2013.
6 May 2025

DIMS limit breaks under the FMC Act

This information sheet outlines the obligations of Discretionary Investment Management Services (DIMS) providers under the Financial Markets Conduct Act 2013 (FMC Act) relating to investment authority limits and reporting breaches of those limits.
12 April 2023

Wei (Walker) Zhong and Lei (Regina) Ding - Judgment

High Court Judgment: Wei (Walker) Zhong and Lei (Regina) Ding have been found to have contravened the Financial Markets Conduct Act 2013 in relation to the trading of Oceania Natural Limited (ONL) shares.
30 May 2018

Compliance assurance programmes information sheet

The information sheet is for entities holding or applying for a licence under the Financial Markets Conduct Act 2013, and anyone involved in the creation, implementation and ongoing operation of a compliance assurance programme.
30 October 2014

Reporting duties under Part 4 of the FMC Act

This information sheet outlines the new reporting duties under the Financial Markets Conduct Act 2013 (FMC Act) for debt issuers, managers of managed investment schemes, supervisors, auditors, investment managers, administration managers, custodians and actuaries.
1 October 2014

Reporting duties under Part 4 of the FMC Act Information Sheet and Table

This information sheet outlines the new reporting duties under the Financial Markets Conduct Act 2013 (FMC Act) for debt issuers, managers of managed investment schemes, supervisors, auditors, investment managers, administration managers, custodians and actuaries.
25 July 2024

Exemption notice 2024 - Financial Markets Conduct Climate Statements Spark Finance Limited

The Financial Markets Conduct (Climate Statements – Spark Finance Limited) Exemption Notice 2024 (Notice) exempts Spark Finance Limited (SFL) from its climate-related disclosure obligations under Part 7A of the Financial Markets Conduct Act 2013 (Act).
1 November 2014

Statements of investment policy and objectives (SIPO) guidance

This guidance note is for managers of Managed Investment Schemes and their Supervisors. It provides guidance on the expections of the FMA for your approach to SIPOs under Part 4 of the FMC Act 2013.