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Found 298 results. Displaying page 10 of 20

1. 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.

2. 15 February 2019

   Financial Advisers Disciplinary Committee decisions - OIA request

   OIA respnse, dated 15 February 2019, regarding Financial Advisers Disciplinary Committee (FADC) example cases and decisions

3. 5 February 2019

   OIA Reporting Enitites

   OIA response, dated 5 February 2019, regarding the number of times in 2019 that the FMA requested a reporting entity (RE) seek an audit of its risk assessment

4. 17 December 2018

   Workplace sexual harassment survey - OIA response

   OIA survey response regarding workplace sexual harassment

5. 15 December 2018

   Conduct and culture review remediation categories - OIA response

   Conduct and culture review of banks remediation categories OIA response on 15 December 2018

6. 21 November 2018

   Universal Human Life needs or neccessities - OIA response

   Universal Human Life needs or neccessities OIA response on 21 November 2018

7. 18 October 2018

   Social Media Campaign 2018 - OIA response

   OIA response, on 18 October 2018, regarding costs surrounding a social media campaign for World Investor Week 2018

8. 8 October 2018

   Second Samson trial - OIA response

   OIA response to the Second Samson trial. Response dated 8 October 2018

9. 28 September 2018

   AML/CFT resourcing - OIA response

   OIA response, dated 28 September 2018, resourcing for the AML/CFT work undertaken by the Securities Commission

10. 31 August 2018

    Expense disclosure CE January to June 2018

    CE expenses disclosure for the period 1 January 2018 - 30 June 2018

11. 23 August 2018

    AMLCFT optout follow up - OIA response

    OIA response, 23 August 2018, regarding FMA processing notifications to opt-out of the IDCOP

12. 20 August 2018

    SSC inquiry regarding external security consultants - response

    FMA response to SSC inquiry dated 20 August 2018 regarding external security consultants

13. 14 August 2018

    FMA change management - OIA response

    OIA response, dated 14 August 2018, on FMA change management

14. 2 August 2018

    FMA Annual Corporate Plan 2018-19

    This Annual Corporate Plan sets out our activities for 2019/20 that will promote our strategic priorities, address regulatory risks and harms, and deliver sector outcomes. This plan should be read alongside our Strategic Risk Outlook, which provides our medium-term view of the most significant risks to and opportunities for promoting fair, efficient and transparent financial markets.

15. 31 July 2018

    Expense disclosure CE Travel January to June 2018

    CE expenses disclosure for the period 1 January 2018 - 30 June 2018