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Found 1953 results. Displaying page 42 of 131

15 December 2022

Pencarrow Private Equity Management Limited - Formal Warning

FMA formally warns Pencarrow Private Equity for AML/CFT record-keeping breaches tied to Fund V investments, April–July 2018.
13 December 2022

Exemption notice - Financial Markets Conduct Small Co operatives

This notice provides co-operative companies and industrial and provident societies with a lighter regulatory compliance pathway.
9 December 2022

Disclose Register MIS fund updates for 30 June 2022

MIS fund update for 30 June 2022.
2 December 2022

Accredited Body Report - CPA Australia 2022

Findings from the FMA’s review of the adequacy and effectiveness of CPA Australia’s audit regulatory systems for the period 1 July 2021 to 30 June 2022
2 December 2022

Accredited Body Report - NZICA 2022

Findings from the FMA’s review of the adequacy and effectiveness of NZICA’s audit regulatory systems for the period 1 July 2021 to 30 June 2022.
30 November 2022

Fair Conduct Programmes information sheet

This information sheet provides information and examples to help entities establish, implement and maintain their fair conduct programmes (FCPs). It will be useful for entities holding or applying for a licence to act as a financial institution under the Financial Markets Conduct Act 2013 (FMC Act), and anyone involved in establishing, implementing and maintaining an FCP.
30 November 2022

Financial Institutions Regulatory Impact Statement (RIS) standard conditions

This document is for financial institutions, their advisers, and interested parties. It discusses standard conditions for financial institution licences.
30 November 2022

Consultation summary - summary of key themes standard conditions for Financial Institutions

Summary of the key themes presented during the consultation of financial institution standard conditions for licensing.
30 November 2022

Financial Institutions Submissions report standard conditions

Collation of written feedback received as part of the FMA’s public consultation on the proposed standard conditions for financial institution licences.
30 November 2022

Standard conditions Financial Institutions

Standard conditions for Financial Institutions.
23 November 2022

FMC Act exemptions

List of Markets Conduct Act exemptions.
23 November 2022

Exemption Notice - Financial Markets Conduct Irish UCITS

This notice is the Financial Markets Conduct (Irish UCITS) Exemption Notice 2022
17 November 2022

Supervisor licence Anchorage Trustee Services Limited

Anchorage Trustee Services Limited is licensed to act as a statutory supervisor for retirement villages in NZ under the Financial Markets Supervisors Act.
16 November 2022

Audit Quality Monitoring Report 2022

The Audit Quality Monitoring Report for 1 July 2021 – 30 June 2022. This this year’s report emphasises that high-quality audits are vital to ensuring investors can make active choices based on clear, concise, and effective information.
15 November 2022

30 September 2022 Disclose Register KiwiSaver fund updates

Disclose Register KiwiSaver fund update for 30 September 2022