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Found 531 results. Displaying page 26 of 36

1. 5 October 2023

   Lessons learned from the Barry Kloogh Ponzi scheme

   This report covers the FMA's enquiries into the regulator settings and practices of financial services used by Barry Kloogh to commit fraud.

2. 16 March 2023

   How the FAP licence classes compare

   FMA guide compares Class 1, 2, and 3 FAP licences to help financial advisers choose the right licensing option for their business.

3. 14 March 2023

   Feedback form Foreign listed issuers climate reporting exemptions

   Feedback form for those who wish to respond to the FMA Consultation: Proposed exemptions for foreign listed issuers from climate reporting duties.

4. 23 February 2023

   Notice of approved auditing courses

   FMA-approved auditing courses list for auditor licensing in New Zealand, including current and legacy qualifications from CAANZ, CPA, ICAEW, and more.

5. 20 October 2022

   Provincia Property Fund Limited - Formal Warning

   FMA warns Provincia Property Fund for potentially misusing the wholesale investor exclusion and failing to disclose to investors under the FMC Act.

6. 9 September 2022

   Consultation paper on proposed Regulatory returns for licensed Class 3 financial advice providers

   Public consultation on the proposed regulatory returns that licensed Class 3 financial advice providers will be required to provide to the FMA

7. 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.

8. 30 April 2018

   NZX Main Board/Debt Market and NZAX Listing Rules - Approval of Markets Rules Notice

   FMA approves NZX Main Board, Debt Market, and NZAX listing rules under the FMC Act, based on the 21 Feb 2017 submission.

9. 1 June 2016

   Investor Confidence Research 2016

   This is the fourth year that FMA has carried out investor research measuring attitudes towards, and investment in New Zealand’s financial markets.

10. 17 December 2015

    Consultation paper proposed exemptions for existing property schemes

    FMA consults on FMC Act exemptions for closed property schemes, including asset custody and limited governance relief for schemes being wound up.

11. 28 September 2015

    Consultation Corporate vehicles used to manage costs in communal facilities for real property FMC Act designation and exemption

    FMA consultation on exempting property cost-sharing companies from FMC Act rules, focusing on their non-investment purpose and limited financial risk.

12. 28 July 2015

    Exemption Notice - Financial Advisers Courtenay Nominees Limited Transaction Reporting

    FMA exempts Courtenay Nominees from cash asset reporting under the FMCA, subject to conditions on valuation and disclosure by Todd Family Office.

13. 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.

14. 29 September 2014

    General Equity - Order

    FMA issues a public warning and disclosure order against General Equity for misleading conduct and false claims about regulatory status in NZ.

15. 1 July 2014

    Financial Dispute Resolution Scheme - MOU

    MOU concerning consultation, cooperation and the exchange of information between the FMA and Fairway Resolution Limited trading as Financial Dispute Resolution Scheme