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Found 2017 results. Displaying page 84 of 135

1. 18 February 2019

   Expense Disclosure CE Hospitality July Dec 2018

   CE expense disclosure for the period 1 July 2018 - 31 December 2018.

2. 18 February 2019

   Expense Disclosure CE Gifts July Dec 2018

   CE gifts and benefits disclosure for the period 1 July 2018 - 31 December 2018

3. 18 February 2019

   Expense Disclosure CE Travel July Dec 2018

   CE expense disclosure for the period 1 July 2018 - 31 December 2018.

4. 18 February 2019

   Expense Disclosure CE Other July Dec 2018

   CE expense disclosure for the period 1 July 2018 - 31 December 2018.

5. 15 February 2019

   Financial Markets Conduct (NZX Participant Rules) - Approval of Rule Change Notice 2019

   This notice approves changes to the Participant Rules that were provided to the FMA by NZX for approval on 18 December 2018 with further minor amendments provided 17 January 2019.

6. 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.

7. 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

8. 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

9. 29 January 2019

   Life Insurer Conduct and Culture 2019

   Findings from an FMA and RBNZ review of conduct and culture in New Zealand life insurers.

10. 30 December 2018

    31 December 2018 Disclose Register KiwiSaver fund updates

    This document is the Disclose Register for KiwiSaver fund updates for 31 December 2018

11. 30 December 2018

    31 December 2018 Disclose Register MIS fund updates

    This document is the Disclose Register for MIS fund updates for 31 December 2018

12. 21 December 2018

    Exemption Notice - Financial Markets Conduct Invion Limited

    Financial Markets Conduct (Invion Limited) Exemption Notice 2018

13. 19 December 2018

    NZX NZ Market Disciplinary Tribunal Rules Approval of Rule Changes 2018

    NZX NZ Market Disciplinary Tribunal Rules Approval of Rule Changes 2018

14. 19 December 2018

    NZX Participant Rules - Approval of Changes Notice 2018

    FMA approves 2018 NZX Participant Rules changes, effective 1 July 2019 or later as set by NZX under Rule 1.4 of the Participant Rules.

15. 19 December 2018

    NZX Derivatives Market Rules - Approval of Rule Changes 2018

    FMA approves 2018 rule changes to NZX Derivatives Market Rules under the FMC Act, effective 20 Dec 2018, with new listing rules from Jan 2019.