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Found 44 results. Displaying page 2 of 3

1. 28 February 2014

   Expense disclosure CE other 2014 jan feb

   CE expenses disclosure for the period 1 January 2014 - 3 February 2014

2. 30 July 2013

   Expense disclosure CE 2013 jan jun

   CE expenses disclosure for the period 1 January 2013 - 3 June 2013

3. 1 August 2013

   New Zealand Bankers Association submission

   Response to consultation, New Zealand Bankers Association, 3 Aug 2013: Draft factsheet on managing intermediaries

4. 13 December 2023

   Financial Markets Conduct FSM Listing Rules Approval of Rule Change Notice 2023

   This notice is the Financial Markets Conduct (FSM Listing Rules) Approval of Rule Change Notice 3/2023.

5. 9 September 2022

   Proposed annual regulatory return information to be provided by licensed CLASS 3 FAPs to the FMA (questions)

   Proposed annual regulatory return information to be provided by licensed CLASS 3 Financial advice providers (FAPs) to the FMA

6. 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.

7. 29 September 2014

   NXT - Notice of Market Registration 2014

   NZX is granted a Market Registration for NXT under section 36F(3) of the Act. The notice comes into force on 29 Sept 2014

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. 15 February 2023

   Regulatory Impact Statement FAP Regulatory Returns

   This document is for financial advice providers, financial advisers, and other interested parties. It discusses the regulatory reporting requirements as required by Standard Condition 3 for licensed financial advice providers.

10. 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.

11. 2 February 2023

    Reasonable grounds for financial advice about financial products - guidance

    Guidance on the FMA’s approach to applying and enforcing Code Standard 3 of the Code of Professional Conduct for Financial Advice Services, in relation to financial advice about financial products purchased for investment purposes.

12. 1 June 2022

    Exemption Notice - Haleon plc

    The Financial Markets Conduct (Haleon plc) Exemption Notice 2022 exempts GlaxoSmithKline plc (GSK) and Haleon plc (Haleon) from the obligations in Part 3 (Disclosure of offers of financial products) of the Financial Markets Conduct Act 2013.

13. 24 August 2023

    Exemption Notice- Financial Markets Conduct Times-7 Group

    The Financial Markets Conduct (Times-7 Group) Exemption Notice 2023 exempts Times-7 Holdings Limited and Times-7 Research Limited (together, the issuers) from compliance with the disclosure requirements of Part 3 of the Financial Markets Conduct Act 2013 (Act).

14. 12 June 2023

    Exemption notice - Fonterra capital return

    The exemption Notice exempts Fonterra Co-operative Group Limited (Fonterra) from Part 3 of the Financial Markets Conduct Act 2013 (the FMC Act), in relation to a capital return and contemporaneous share subdivision, pursuant to a court-approved scheme of arrangement.

15. 20 October 2022

    Jasper NZ Investments Limited - Formal Warning

    The FMA issued a formal warning to Jasper NZ Investments Limited following concerns that it may have failed to give disclosures to investors as required by Part 3 of the Financial Markets Conduct Act 2013 because it relied on the wholesale investor exclusion in circumstances where they were not entitled to.