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  2. 23 January 2015

    Notification of Warning: individual trader – market manipulation

    The Financial Markets Authority has issued a warning to an individual in relation to suspected market manipulation. Following an investigation by the FMA, it concluded that trading by the individual in question has likely breached the Securities Markets Act 1988. Read more.
    Tags
    Market manipulation, Enforcement
    Type
    Page

  3. 22 January 2015

    Convera Australia Pty Ltd.

    Convera Australia Pty Ltd. (previously Western Union Business Solutions (Australia) Pty Ltd) is a licensed derivatives issuer. Their license number is FSP168204
    Tags
    Derivative Issuer, Licensed entity, Roles, Reporting entities, Business
    Type
    Page

  5. 15 January 2015

    Institute of Directors - Directors guide

    This guide from the IoD outlines some of the essential behaviours directors should demonstrate to meet legal, regulatory and ethical standards, and tells you where you can go to find out more.
    Tags
    Directors, Roles, Business
    Type
    PDF

  6. 13 January 2015

    2015 Letter from the Minister

    Annual letter from the Minister 2015.
    Tags
    Annual letter of expectations from the Minister, FMA
    Type
    PDF

  13. 19 December 2014

    Consultation: Corporate Governance in New Zealand – Principles and Guidelines

    Consultation: Corporate Governance in New Zealand – Principles and Guidelines handbook is intended as a reference guide for directors, executives and advisers, to help them decide how best to apply the nine key corporate governance principles.
    Tags
    Directors, Roles, Consultations, Business
    Type
    Page, Consultation

  14. 19 December 2014

    Consultation: Corporate Governance in New Zealand – Principles and Guidelines

    Consultation: Corporate Governance in New Zealand – Principles and Guidelines handbook is intended as a reference guide for directors, executives and advisers, to help them decide how best to apply the nine key corporate governance principles.
    Tags
    Directors, Roles, Consultations, Business
    Type
    Page, Consultation

  15. 19 December 2014

    Consultation Personalised DIMS response to submissions

    The table in this paper summarises the submissions made on our Consultation paper: Personalised DIMS under the Financial Advisers Act 2008 (“the Act”)
    released on 19 November 2014.
    Five written submissions were received. The FMA has considered all submissions and our response to the main issues is set out in the table below.
    Tags
    Discretionary investment management scheme (DIMS), Consultations, Roles, Business
    Type
    PDF