Search results

Found 83 results. Displaying page 4 of 6

1. 31 January 2024

   CE Expense Disclosure Other Samantha Barrass Jul 22 Jun 2023

   CE other expense disclosure, for the period Jul 2022 to June 2023 for Samantha Barrass.

2. 31 January 2024

   CE Expense Disclosure Summary Samantha Barrass Jul 22 Jun 2023

   CE summary expense disclosure, for the period Jul 2022 to June 2023 for Samantha Barrass.

3. 31 January 2024

   CE Expense Disclosure Travel Samantha Barrass Jul 22 Jun 2023

   CE Travel expense disclosure, for the period Jul 2022 to June 2023 for Samantha Barrass.

4. 15 March 2022

   Exemption Notice - Financial Markets Conduct JP Morgan Chase Bank N.A.

   This notice is the Financial Markets Conduct (JP Morgan Chase Bank N.A.) Exemption Notice 2022.

5. 22 April 2022

   Exemption Notice - Financial Markets Conduct Berkshire Hathaway Specialty Insurance Company

   This notice is the Financial Markets Conduct Act (Berkshire Hathaway Specialty Insurance Company) Exemption Notice 2022.

6. 30 September 2022

   AIA New Zealand Ltd - Judgment

   AIA fined $700K by Auckland High Court for false or misleading representations to customers, per FMA enforcement, Sept 2022.

7. 14 June 2022

   Cigna and OnePath Life - Enforceable Undertaking

   OnePath & Cigna admit FMCA breaches, jointly paying $180K to FMA for fair dealing failures in NZ insurance, June 2022.

8. 13 September 2021

   Samantha Barrass bio

   Bio for Samantha Barrass who is appointed the new Chief Executive of the FMA, beginning her role in early 2022.

9. 18 March 2022

   Impact of Russia Sanctions on AML/CFT reporting entities

   An update from the three AML/CFT Act supervisors to reporting entities on what is required of them under the Russia Sanctions Act 2022.

10. 27 June 2023

    NZX Obligations Review 2023

    Findings from the FMA's review of how well NZX is meeting its licensed market operator obligations, for the period 1 January to 31 December 2022.

11. 29 April 2024

    AML/CFT Customer Due Diligence – Companies

    This guidance assists reporting entities to conduct customer due diligence (CDD) under the AML/CFT Act 2009 on their customers who are companies. Published Oct 2022.

12. 8 December 2023

    Accredited body report - CPA Australia 2023

    Findings from the FMA’s review of the adequacy and effectiveness of CPA Australia’s audit regulatory systems for the period 1 July 2022 to 30 June 2023

13. 28 September 2023

    Catalist market operator obligations review 2023

    Findings from the FMA’s review of how well Catalist is meeting its licensed market operator obligations, for the period 1 April 2022 to 31 March 2023.

14. 29 August 2022

    Kalkine New Zealand Limited - Direction Order

    FMA directs Kalkine New Zealand Limited to stop making outgoing sales calls to people in New Zealand following concerns about the entity’s misleading marketing conduct. 10 August 2022.

15. 16 December 2024

    ASX 24 Obligations Review 2024

    Findings from the FMA’s review of how well ASX 24 is meeting its licensed market operator obligations, for the two-year period 1 July 2022 to 30 June 2024.