Search results

Keywords

Date Published

Sort by:

Found 419 results. Displaying page 22 of 28

18 August 2016

AMP Wealth Management Limited - Notice under section 68 of the Financial Markets Conduct Act 2013 Reduction of waiting period

AMP Wealth Management Limited - Notice under section 68 of the Financial Markets Conduct Act 2013 Reduction of waiting period
21 July 2023

Licensing guide -Financial Institutions

FMA guide for applying for a financial institution licence under the CoFI regime, outlining requirements, Fair Conduct Programme, and process.
22 June 2017

UDC Finance Limited Waiver Notice - PDS consideration unnecessary

UDC Finance Limited Waiver Notice under section 68 of the Financial Markets Conduct Act 2013 - PDS consideration unnecessary. June 2017.
30 November 2015

KVB Kunlun New Zealand Limited Waiver Notice

KVB Kunlun New Zealand Limited Waiver Notice under section 68 of the Financial Markets Conduct Act 2013 PDS consideration unnecessary
22 August 2024

FMA v CBL Corporation Ltd in liq penalty

The High Court has ordered Peter Harris, the former CBL Corporation Limited (In Liquidation) (CBLC) managing director, to pay a penalty of $1.4 million for continuous disclosure and misleading conduct breaches following proceedings brought by the FMA under the Financial Markets Conduct Act 2013 (FMCA) (the Continuous Disclosure Proceeding).
27 February 2024

Application guide for overseas auditors including Australian auditors and audit firms

This document is for overseas and Australian auditors seeking FMA licensing or registration to conduct FMC audits under NZ financial law.
12 February 2021

ANZ Bank New Zealand Limited - High Court Judgment

High Court Judgment on FMA’s 2020 civil case against ANZ NZ for alleged breaches of the Financial Markets Conduct Act 2013.
30 May 2022

Exemption Notice - Stride Property Group

The Financial Markets Conduct (Stride Property Group) Exemption Notice 2022 allows Stride Property Limited (SPL) and Stride Investment Management Limited Stride (SIML), as stapled entities (Stride Property Group), to prepare consolidated financial statements for the purposes of subpart 3 of Part 7 of the Financial Markets Conduct Act 2013 (the Act).
1 November 2014

Declaration by senior manager of relevant party

This declaration form should be completed by senior managers of a relevant party when applying for a market services licence under Part 6 of the Financial Markets Conduct Act 2013 (FMC Act) and disclosure is required by relevant parties, defined in regulation 189 of the Financial Markets Conduct Regulations 2014 (Regulations).
8 April 2024

Regulatory impact statement Standard condition on business continuity and technology systems

Regulatory Impact Statement: Operational resilience condition for certain market services licence holders under Part 6 of the Financial Markets Conduct Act 2013.
11 September 2015

First Mortgage and First Mortgage PIE Trust Waiver Notice

First Mortgage and First Mortgage PIE Trust - Waiver Notice under section 68 of the Financial Markets Conduct Act 2013 PDS consideration unnecessary
1 November 2014

Standard Conditions for peer-to-peer lending services

Your guide to the standard conditions that apply to a licensed Peer-to-peer market service under the Financial Markets Conduct Act.
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.
1 June 2014

Certificate of compliance and authority to apply applicant or their authorised person

Certificate of compliance and authority form for applying to the FMA for a market services licence under the Financial Markets Conduct Act.
1 November 2014

Declaration by individual relevant party such as owner

Declaration form to be completed by an individual relevant party such as an owner when applying for a market services licence under Part 6 of the Financial Markets Conduct Act 2013 (FMC Act) and disclosure is required by relevant parties, as defined in regulation 189 of the Financial Markets Conduct Regulations 2014 (Regulations).