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  1. 1 July 2020

    culwalla consulting submission

    Response to Consultation Paper - Culwalla Consulting:
    Practical implications of Reporting Entities transacting with other Reporting Entities and the Factsheet on Managing Intermediaries.
    Tags
    Consultations, Business
    Type
    PDF

  2. 1 July 2020

    Derivatives Issuer Sector Risk Assessment

    This sector risk assessment summarises the key risks posed by licensed Derivatives Issuers (DIs) to the FMA’s objective of promoting fair, efficient and transparent financial markets. It is based on a self-assessment completed by DIs, as well as our interactions with DIs and their clients since FMC Act licensing began.
    Tags
    Reports and Papers, Derivative Issuer, Roles, Business, News & Insights
    Type
    PDF

  3. 30 June 2020

    Statement of Intent

    This Statement of Intent (SOI) is presented to the House of Representatives in accordance with Part 4 of the Crown Entities Act 2004.
    The SOI provides a four-year outlook on the performance measures that we will use to
    demonstrate progress towards our strategic intentions, spanning 1 July 2020 to 30 June 2024. The strategic intentions outlined in this document mirror the strategic priorities set in our 2019 Strategic Risk Outlook (SRO). The SOI also outlines high-level activities in relation to each strategic intention and details how we will measure the
    impact of our activities over the four-year period. Our SOI should be read together with our annual Statement of Performance Expectations (SPE), which outlines our annual operational performance measures based on the FMA’s three appropriation
    categories. Read the Statement of Intent 2020-20024 on this page.
    Tags
    Type
    Page, Corporate publications, Statement of intent

  5. 30 June 2020

    NZX Obligations Review 2020

    Under the FMC Act, we are required to review at least annually how well a licensed market operator is meeting its obligations, and to publish a written report. Broadly, these relate to the areas of operation that are regulatory in nature. Publishing the report provides transparency into our oversight of NZX. This report was published in 2020.
    Tags
    Market operator, Monitoring, Roles, Reports and Papers, Business, News & Insights
    Type
    PDF

  6. 30 June 2020

    Consultation Joint response to managing intermediaries 11 nov 2013

    The Financial Markets Authority published a consultation paper on 11 July 2013 concerning certain obligations under the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (‘AML/CFT Act’). The paper dealt with the obligations of reporting entities that transact with other
    reporting entities.17 submissions were received from market participants, industry bodies, law firms and consultants. This paper details the responses.
    Tags
    AML/CFT, Consultations, Roles, Business
    Type
    PDF

  8. 30 June 2020

    FMA publishes NZX Obligations annual review 2020

    NZX met its statutory obligations as a licensed market operator for the period 1 January to 31 December 2019, according to the Financial Markets Authority (FMA)’s annual review. The NZX General Obligations Review, published by the FMA today, found that NZX complied with its market operator obligations during the review period. Read the full media release and NZX General Obligations Review here.
    Tags
    Shares, Roles, Ways to invest, Investing, Media release, Business, Consumer, Market operator, News & Insights
    Type
    Page

  9. 30 June 2020

    FMA publishes Statement of Intent and Statement of Performance Expectations

    The Financial Markets Authority (FMA) has today released the Statement of Intent (SOI) and Statement of Performance Expectations (SPE). Together the publications set out how the FMA will measure and report on progress against its performance measures and targets. Read both documents and the full media release here.
    Tags
    Media release, FMA, News & Insights
    Type
    Page

  10. 29 June 2020

    Statement of Performance Expectation 2020

    The Statement of Performance Expectations (SPE) is one of two documents that set out how we measure our
    future performance and report on the progress of that performance against our performance targets. This is our 2020 report.
    Tags
    Type
    PDF, Statement of Performance Expectations, Corporate publications

  11. 29 June 2020

    Statement of Intent 2020

    The Statement of Intent sets out how we will measure our progress against our strategic intentions in the medium term. It should be read in conjunction with the annual Statement of Performance Expectations. This is our 2020 report.
    Tags
    Type
    PDF, Statement of intent, Corporate publications

  12. 25 June 2020

    Investor confidence holds up despite COVID-19 market volatility

    Investor confidence has remained steady for the third year running, in spite of the volatility caused by COVID-19, a Financial Markets Authority (FMA) survey has found. Read the summary and full report here.
    Tags
    Directors, New Financial Advice regime, Financial advice, Roles, Media release, Business, Consumer, News & Insights
    Type
    Page

  13. 25 June 2020

    FMA welcomes start date of new financial advice regime and confirmation of disclosure requirements

    The Financial Markets Authority (FMA) is encouraging advisers to apply for their transitional licences by the end of the year, as the Government announces the start date to the new financial advice regime. Read the full media release here.
    Tags
    Financial advice, New Financial Advice regime, Media release, Financial Services Legislation Amendment Act (FSLAA), Financial Advice Provider, Roles, Business, Consumer, News & Insights
    Type
    Page

  14. 25 June 2020

    www.aintreefinance.com

    www.aintreefinance.com has hallmarks of a scam.
    Tags
    Suspected scam, Scams
    Type
    Page

  15. 24 June 2020

    WDC Markets

    WDC Martkets may be operating a scam.
    Tags
    Suspected scam, Scams
    Type
    Page