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Found 112 results. Displaying page 7 of 8

1. 15 February 2019

   Gifts and Hospitality since 2013 - OIA response

   OIA response, dated 15 Feb 2019, requesting information surrounding any gifts and hospitality given to FMA staff by private organisations since 2013.

2. 1 August 2019

   Identity Verification Code of Practice - OIA request

   OIA response, dated 1 August 2019, where we provided information about the Identity Verification Code of Practice, as well as the Explanatory Note

3. 22 March 2019

   Complaints against AFAs and RFAs - OIA response

   OIA, dated 22/03/2019, regarding complaints made to the FMA about Authorised Financial Advisers and Registered Financial Advisers over the last five years

4. 19 December 2018

   NZX Participant Rules - Approval of Changes Notice 2018

   FMA approves 2018 NZX Participant Rules changes, effective 1 July 2019 or later as set by NZX under Rule 1.4 of the Participant Rules.

5. 1 May 2018

   Investor Confidence Report 2018

   The FMA commissioned Buzz Channel to measure New Zealanders’ attitudes towards and confidence in New Zealand’s financial markets. This is the 2019 survey report.

6. 19 December 2018

   NZX Derivatives Market Rules - Approval of Rule Changes 2018

   FMA approves 2018 rule changes to NZX Derivatives Market Rules under the FMC Act, effective 20 Dec 2018, with new listing rules from Jan 2019.

7. 30 July 2019

   Payments to social media influencers - OIA request

   OIA response, dated 30 July 2019, where costs were queried in relation to three public awareness campaigns in which social media influencers received payment for posts.

8. 9 April 2019

   Mark Talbot - Enforceable Undertaking

   Mr Talbot has offered this enforceable undertaking following an investigation made by the FMA into his trading of shares in VMob Group Limited (VMob). 3 April 2019.

9. 18 December 2020

   NZICA accredited body report 2020

   This report contains the findings of our monitoring assessment of the New Zealand Institute of Chartered Accountants (NZICA) for the period 1 July 2019 to 30 June 2020.

10. 15 July 2019

    OIA Investigation into the ANZ rural growth fund

    OIA response, dated 15 July 2019, regarding any information related to the Rural Growth Fund Scheme (Scheme), operated by the National Bank and later the ANZ National Bank

11. 16 December 2020

    FMA Annual Report 2020

    The 2020 FMA Annual Report highlights our key work from the 2019/2020 financial year, including our response to the COVID-19 crisis, and a range of enforcement activity.

12. 22 November 2019

    Territorial scope of the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 guidance

    This guideline is designed to assist businesses to determine whether they have obligations under the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (“the AML/CFT Act”). Updated November 2019

13. 29 June 2021

    ICE Futures US general obligations review 2021

    The US Commodity Futures Trading Commission (CFTC) is IFUS’s primary regulator. Our review therefore focuses on whether the CFTC was satisfied with IFUS’s compliance during the review period. 2019-2020 ICE Futures US general obligations review.

14. 22 June 2021

    MIS liquidity risk management review

    This report contains recommendations on liquidity stress testing frameworks, processes and procedures, following the August 2020 self-assessment survey completed by regulated entities for a two-year period ending 31 December 2019. It will be useful for directors, senior management and investment personnel of managed investment schemes.

15. 1 August 2019

    Interest rate swap investigation - OIA request

    OIA response, dated 1 August 2019, which looked at the investigation by the FMA in 2012-2013 into banks marketing, promoting and selling interest rate swaps between 2005 and 2009. As well as complaints surrounding interest rate swap and the final settlement number with the banks.