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Found 135 results. Displaying page 5 of 9

1. 29 June 2016

   UDC Finance Limited Waiver Notice - consideration complete / reduction of waiting period

   FMA waiver notice for UDC Finance under FMC Act section 68 confirms early PDS consideration and reduced waiting period as of June 2016.

2. 28 January 2014

   2014 Letter of Expectations

   The letter of expectation 2014 is delivered by the Minister to the FMA to formalise expectation of the FMA as a Crown entity.

3. 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.

4. 1 December 2014

   Corporate Governance in New Zealand - Principles and Guidelines

   This handbook is intended as a reference for directors, executives and advisers to decide how best to apply the principles to their particular entity.

5. 27 November 2024

   Submissions report CRD PDS proposed guidance

   Collation of written feedback received as part of the FMA’s public consultation on the proposed information sheet on references to climate statements in disclosure documents

6. 18 June 2025

   NZX Obligations Review 2025

   This report provides information on the review of NZX undertaken for the period from 1 January to 31 December 2024 (referred to as the review period).

7. 5 July 2019

   Statement on the Kiwi Access Card

   Part 1, Section 2 of the amended Identity Verification Code of Practice 2013 (IVCOP) currently refers to the older 18+ card as an example of secondary or supporting form of photographic identification, which is to be used in conjunction with a form of primary nonphotographic identification such as a birth certificate in order to meet the standard set by the IVCOP.

8. 1 September 2012

   Pre-prospectus publicity - some practical guidance for issuers and their advisers

   This guidance note is intended for issuers of securities, their directors and advisers. It sets out the Financial Markets Authority’s (FMA) view on the boundaries of pre-regulated offer publicity/advertising (also commonly referred to as ‘pre-prospectus publicity’), as required by the Securities Act 1978 (Act) and FMA’s policy on the scope of pre-prospectus publicity it will support by exemption.

9. 12 December 2017

   Class legislative notice summary 2017

   This is a summary of the Financial Markets Conduct Act and Financial Adviser Act class legislative notices we have granted in effect as at 1 December 2017.

10. 16 February 2016

    2016 FMA letter of Expectations

    The annual letter of expectations 2016 issued by the Minister to the FMA that sets out expectations of the Minister to the FMA as a crown entity.

11. 22 December 2016

    How the FMC Act will affect co operative companies and industrial and provident societies that have issued or intend to issue co operative shares guidance

    This information sheet outlines the options for co-operative companies and industrial and provident societies (IPSs) (collectively referred to as co-operatives) offering and managing co-operative shares.

12. 20 April 2023

    Am I a Climate Reporting Entity FAQ

    Entities required by legislation to produce climate statements are known as Climate Reporting Entities or CREs. Find out if you are a Climate Reporting Entity on this fact sheet.

13. 26 July 2022

    Integrated financial products Review of managed fund documentation

    Findings from a review of the effectiveness of disclosure information from a sample of managed investment funds labelled or marketed as being integrated financial products (e.g. sustainable, ethical, green)

14. 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.

15. 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