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Found 86 results. Displaying page 5 of 6

1. 30 May 2014

   new governance and accountability framework for mis managers and their licensed supervisors 2014

   The FMC Act introduces an accountability framework for managed investment schemes (MIS). The requirements include a statutory duty of care on both managers and supervisors of managed investment schemes. Both must also act in the best interests of investors. Managers and supervisors need to have a clear understanding of their respective roles and understand they will be held to account for their actions.

2. 4 February 2014

   Exemption Notice 2014 - Securities Act (Scales Corporation Limited and George H Investments Limited)

   Securities Act (Scales Corporation Limited and George H Investments Limited) Exemption Notice 2014

3. 14 November 2014

   Exemption Notice - Securities Act Evolve Education Group Limited

   This notice is the Securities Act (Evolve Education Group Limited) Exemption Notice 2014

4. 1 December 2014

   Exemption Notice - Financial Markets Conduct Act Insider Trading Fonterra Co operative Group Limited

   Financial Markets Conduct Act (Insider Trading - Fonterra Co-operative Group Limited) Exemption Notice 2014.

5. 28 November 2014

   Securities Markets Act Main Board Debt Market Listing Rules Approval of Market Rules Notice 2014

   FMA approval of NZX Main Board and Debt Market listing rules under the Securities Markets Act 1988, effective from 28 Nov 2014.

6. 30 May 2014

   Exemption Notice 2014 - Securities Act (Millennium & Copthorne Hotels New Zealand Limited and First Sponsor Group Limited)

   Securities Act (Millennium & Copthorne Hotels New Zealand Limited and First Sponsor Group Limited) Exemption Notice 2014

7. 30 November 2014

   Exclusions under the Financial Markets Conduct Act 2013 FMC Act Summary of Schedule 1

   Exclusions under the Financial Markets Conduct Act 2013 FMC Act Summary of Schedule 1. Published November 2014.

8. 1 April 2014

   FMA’s new role as regulator of conduct

   From April 2014, FMA became the main regulator of conduct for financial products and services, replacing the Commerce Commission.

9. 3 December 2014

   ANZ Bank New Zealand Limited - Settlement Agreement

   Settlement Agreement with ANZ Bank New Zealand Limited regarding interest rate swaps sales to certain rural customers, 3 December 2014.

10. 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.

11. 9 December 2015

    NZICA accredited bodies report 2015

    This report contains the outcome of our assessment of the New Zealand Institute of Chartered Accountants (NZICA) for the period 1 July 2014 to 30 June 2015.

12. 15 December 2022

    ASX 24 Obligations Review 2022

    This review covers the period 1 July 2020 to 30 June 2022 and is our fourth review of ASX 24 since its licence came into effect on 1 December 2014.

13. 1 June 2014

    FMA’s supervision of Anti-Money Laundering and Countering Financing of Terrorism

    This 2014 document outlines the Financial Markets Authority’s (FMA’s) priorities for monitoring reporting entities under the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (AML/CFT Act).

14. 3 December 2014

    Commerce Commission v ANZ - Settlement Agreement

    Settlement Agreement made with New Zealand Commerce Commission by ANZ Bank New Zealand Limited following an investigation into interest rate swaps transactions with rural customers between 2005 and 2009. 3 December 2014.

15. 13 December 2016

    ASX 24 review 2016

    Australian Securities Exchange Limited (ASX 24) is licensed to operate the ASX 24 derivatives market (derivatives market) in New Zealand. We are required to report at least once every two years on how well ASX 24 is meeting its licensed market operator obligations. This review period covers 1 July 2014 to 30 June 2016. This is our first review of ASX 24 since its licence came into effect on 1 December 2014.