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Found 112 results. Displaying page 5 of 8

1. 4 October 2019

   Psychometric testing - OIA request

   OIA response, dated 4 October 2019, which psychometric testing occurred as part of initiatives by the FMA and costs associated during the period 1 July 2017 to 30 June 2019

2. 15 November 2019

   Regulatory Impact Statement: FAP transitional licence

   Regulatory Impact Statment: standard conditions Financial advice provider transitional licences November 2019

3. 30 September 2019

   Exemption notice - Financial Markets Conduct (Insider Trading – Livestock Improvement Corporation Limited)

   Financial Markets Conduct (Insider Trading - Livestock Improvement Corporation Limited) Exemption Notice 2019

4. 4 July 2019

   Westpac New Zealand Limited - Enforceable Undertaking

   Enforceable Undertaking by Westpac New Zealand Limited (WNZL) on 4 July 2019.

5. 22 October 2019

   ACAMS Conference - OIA response Redacted

   OIA response, dated 22 October 2019, which looks into the FMA’s participation in the October 2019 ACAMS Conference (ACAMS Conference) and more generally about the FMA’s anti-money laundering (AML) regulatory resources.

6. 5 November 2019

   Exemption Notice - Fonterra Co-operative Group Limited Insider Trading

   Financial Markets Conduct Exemption Notice 2019: Insider Trading - Fonterra Co-operative Group Limited.

7. 30 October 2019

   Steven Robertson - High Court sentencing notes

   High Court sentencing notes in the case against Steven Robertson, 30 October 2019.

8. 4 July 2019

   Viaduct and Mutual - Judgment

   Court of Appeal Judgment in the case against Paul Neville Bublitz, 4 July 2019.

9. 9 April 2019

   Mark Stephen Talbot - Sentencing Notes

   High Court Sentencing remarks in the case against Mark Stephen Talbot, 9 April 2019.

10. 18 February 2019

    Bublitz Trial cost - OIA response

    OIA response, dated 18 February 2019, rearding R v Bublitz & Ors second trial costs

11. 28 June 2019

    ANZ or David Hisco gifts or hospitality - OIA request

    OIA response, dated 28 June 2019, regarding gifts or hospitality provided by ANZ/David Hisco

12. 12 April 2019

    ANZ Bank New Zealand Limited - Supreme Court Judgment

    Supreme Court Judgment in the case against ANZ Bank New Zealand Limited, 12 April 2019.

13. 14 March 2019

    Bublitz First Trial costs - OIA response

    OIA response, dated 14 March 2019, regarding the cost breakdown of the Bublitz First Trial

14. 1 May 2019

    Morgan De Vere Corporate Finance Limited - Court decision

    District Court decision in the case against Morgan De Vere Corporate Finance Limited, 1 May 2019.

15. 15 February 2019

    Financial Advisers Disciplinary Committee decisions - OIA request

    OIA respnse, dated 15 February 2019, regarding Financial Advisers Disciplinary Committee (FADC) example cases and decisions