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Found 1088 results. Displaying page 31 of 73

1. 25 March 2021

   Consultation Response to submissions regulatory returns DI MIS DIMS

   Response to consultation submissions: Content of regulatory returns for licensed DI, MIS managers and DIMS providers.

2. 23 March 2021

   Exemption notice - Financial Markets Conduct Trustee Executors Limited

   Financial Markets Conduct (Trustees Executors Limited) Exemption Notice 2021

3. 18 March 2021

   Exemption Notice - QBE Group 2021

   Financial Markets Conduct Exemption Notice 2021: QBE Group.

4. 16 March 2021

   Exemption notice - EML Payment Solutions

   EML Payment Solutions Exemption Notice 2021

5. 16 March 2021

   Exemption notice - Financial Markets Conduct Merrill Lynch Pierce Fenner Smith Incorporated

   Financial Markets Conduct Merrill Lynch Pierce Fenner Smith Incorporated Exemption Notice 2021

6. 15 March 2021

   Crypto asset service providers

   This page provides information about your obligations if you provide a ‘financial service’ related to crypto assets in New Zealand. Read more about types of financial products, initial coin offers, registration, AML/CFT obligations and fair dealing requirements

7. 10 March 2021

   Consultation paper Proposed class exemption for restricted schemes

   Consultation paper: Proposed class exemption for restricted schemes from certain disclosure and reporting obligations.

8. 9 March 2021

   Financial Markets Conduct (Australian Licensees) Exemption Notice 2020 guidance note

   This guidance note 2020 provides an overview of the exemption notice relating to Australian advice businesses giving advice to New Zealand retail clients, and the circumstances in which a business may be able to rely on it.

9. 9 March 2021

   Consultation Recognition of Australian adviser qualifications submissions report

   The following submissions were received in response to our consultation on recognition of Australian adviser qualifications.

10. 9 March 2021

    Proposed exemption restricted schemes feedback form

    Consultation feedback form: restricted schemes

11. 3 March 2021

    Exemption notice - Allianz Australia Insurance Limited

    Allianz Australia Insurance Limited Exemption Notice 2021.

12. 2 March 2021

    Exemption notice - Financial Markets Conduct ICAP Brokers Pty Limited and ICAP New Zealand Limited

    Financial Markets Conduct (ICAP Brokers Pty Limited and ICAP New Zealand Limited) Exemption Notice 2021

13. 19 February 2021

    Exemption notice - Financial Markets Conduct Insider Trading Livestock Improvement Corporation Limited

    Financial Markets Conduct (Insider Trading - Livestock Improvement Corporation Limited) Exemption Notice 2021

14. 17 February 2021

    NZX Derivatives Market Rules Approval of Rule Change Notice Feb 2021

    Pursuant to section 331 of the Act, the FMA approves changes to the NZX Derivatives Market Rules in accordance with the proposed amendments provided for approval by NZX to the FMA on 22 December 2020.

15. 27 January 2021

    Market Operator Obligations Targeted Review NZX

    As a licensed market operator, NZX is required to meet certain general obligations imposed under section 314 of the Financial Markets Conduct Act 2013 (FMC Act). One of those obligations requires NZX to have sufficient technological resources to operate its licensed markets properly. This includes ensuring, to the extent reasonably practicable, the availability, security, capacity and maintenance of its trading platforms, settlement systems, internal market monitoring systems and other related systems.