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Found 83 results. Displaying page 5 of 6

1. 20 October 2022

   Thematic review of use of the wholesale investor exclusion

   Findings from the FMA’s thematic review of wholesale offers of financial products, along with guidance for offerors and those who provide confirmation for eligible investor certificates. Published 20 October 2022.

2. 11 July 2022

   Approach to oversight of financial statements

   In this document we provide a summary of our main work in monitoring compliance with financial reporting obligations by FMC reporting entities and registered schemes (regulated entities) from 2022-2025.

3. 30 January 2024

   Exemption Notice BGC revocation notice

   This notice, which comes into force on the day after the date of its notification in the Gazette, revokes the Financial Markets Conduct (BGC Partners (Australia) Pty Limited) Exemption Notice 2022.

4. 13 December 2023

   SGX DT Obligations Review 2023

   Market operator obligations review SGX-DT. Findings from the FMA’s review of how well SGX-DT is meeting its licensed market operator obligations, for the period 1 July 2022 to 30 June 2023.

5. 31 August 2022

   Wisdom House and Yuen Pok (Paul) Loo - Stop Order

   The permanent stop order that applies to Wisdom House Investment Partners Limited and Yuen Pok (Paul) Loo, after they engaged in misleading and dishonest conduct, that the FMA ordered on 31 August 2022.

6. 29 April 2024

   AML/CFT Enhanced Customer Due Diligence Guideline

   This guideline assists you to conduct enhanced customer due diligence (enhanced CDD) on your customers under the Anti-Money Laundering and Countering Financing of Terrorism (AML/CFT) Act 2009 (the Act). Published October 2022.

7. 5 July 2022

   Exemption Notice - Financial Markets Conduct Goodman Group

   The Financial Markets Conduct (Goodman Group) Exemption Notice 2022 provides relief for a five year period in relation to the offer of stapled securities to employees in New Zealand under an employee incentive scheme.

8. 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.

9. 22 July 2022

   Exemption Notice - The City of London Investment Trust plc

   The Financial Markets Conduct (The City of London Investment Trust plc) Exemption Notice 2022, exempts The City of London Investment Trust plc from certain financial reporting obligations in Part 7 of the Financial Markets Conduct Act 2013.

10. 6 May 2022

    The One Management GP Limited - Stop Order

    FMA confirmed it has made a stop order against The One Management GP Limited regarding an offer in relation to The One Property LP¹ (the Fund), which is only available to wholesale investors, including eligible investors. May 2022

11. 28 March 2022

    The One Management GP Limited and James Law Realty - Interim Stop Order

    FMA issued an interim stop order to The One Management GP Limited and James Law Realty regarding an offer in relation to The One in Longhorn Partnership Fund (‘the Fund’), which is only open to wholesale investors, including eligible investors. 28 March 2022

12. 8 March 2022

    Exemption Notice - IG Australia

    The Financial Markets Conduct (IG Australia Pty Limited) Exemption Notice 2022 provides relief to IG Australia Pty Limited (IG Australia) from certain financial reporting and audit obligations in the FMC Act and from certain assurance obligations and register entry requirements in the FMC Regulations.

13. 8 August 2022

    Exemption notice - Financial Markets Conduct (ANZ Bank New Zealand Limited-Offer of PPS)

    Financial Markets Conduct (ANZ Bank New Zealand Limited-Offer of PPS) Exemption Notice 2022. Pursuant to section 556 of the Financial Markets Conduct Act 2013, the Financial Markets Authority, being satisfied of the matters set out in section 557 of that Act, gives the following notice.

14. 5 July 2022

    Exemption Notice - Financial Markets Conduct Futurity Investment Group Limited

    The Financial Markets Conduct (Futurity Investment Group Limited) Exemption Notice 2022 exempts Futurity Investment Group Limited (the manager), as manager of Futurity managed investment schemes in New Zealand, principally from section 156(1) of the Financial Markets Conduct Act 2013 (the Act) subject to certain conditions.

15. 9 July 2021

    AML/CFT - New regulation for nominee directors and nominee general partners

    Reporting entities will be expected to comply with the new regulation as soon as possible from 9 July 2021. However, in recognition that reporting entities will need to amend their processes and procedures (and potentially systems), a transitional compliance period will apply until 29 April 2022.