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Found 6543 results. Displaying page 376 of 437

  2. 1 July 2014

    Financial Dispute Resolution Scheme - MOU

    MOU concerning consultation, cooperation and the exchange of information between the FMA and Fairway Resolution Limited trading as Financial Dispute Resolution Scheme
    Tags
    Regulatory cooperation, FMA
    Type
    PDF, MOU

  3. 1 July 2014

    Serious Fraud Office (SFO) - MOU

    MOU concerning consultation, cooperation and the exchange of information between the FMA and the Serious Fraud Office
    Tags
    Regulatory cooperation, FMA
    Type
    PDF, MOU

  7. 30 June 2014

    Going Concern disclosures in financial statements

    The purpose of this report is to inform market participants of the findings of our review and highlight areas of concern.
    Tags
    Auditors, Directors, Roles, Reports and Papers, Business
    Type
    Page, Financial reporting, Report

  8. 30 June 2014

    Going Concern disclosures in financial statements

    The purpose of this 2014 report is to inform market participants of the findings of our review and highlight areas of concern.
    Tags
    Reports and Papers, Auditors, Directors, Roles, Business, News & Insights
    Type
    PDF, Financial reporting

  10. 29 June 2014

    NZX Obligations Review 2014

    NZX, as New Zealand’s only Registered Exchange, is
    an essential part of New Zealand’s financial markets.
    The General Obligations Review provides FMA with
    the opportunity to report on the adequacy of the
    arrangements NZX had in place to comply with its
    obligations during a particular review period, and to
    identify issues that, in FMA’s view, would assist NZX to
    ensure its continued compliance.
    Tags
    Reports and Papers, Market operator, Roles, Business, News & Insights
    Type
    PDF

  11. 18 June 2014

    FMA releases guide to help smaller financial adviser businesses with the licensing process for DIMS

    Following changes to the regulation of Discretionary Investment Management Services (DIMS) announced Monday 16 June, by Commerce Minister, Craig Foss, the Financial Markets Authority (FMA) has released a guide to help advisers and small businesses who want to apply for a licence to provide DIMS under the Financial Markets Conduct Act
    Tags
    Discretionary investment management scheme (DIMS), Media release, Roles, Business, News & Insights
    Type
    Page, Guidance

  12. 18 June 2014

    Licensing guide - small DIMS businesses

    This guide supplements our main licensing application guide. It outlines how a small business providing lower risk Discretionary Investment Management Services (DIMS) can approach an
    application for a DIMS licence under the Financial Markets Conduct Act 2013 (FMC Act).
    Tags
    Discretionary investment management scheme (DIMS), Licence guide, Roles, Licensing & registration, Business
    Type
    PDF

  13. 18 June 2014

    Quick guide to licence applications for small businesses providing DIMS

    Quick guide to licence applications for small businesses providing DIMS supplements our main licensing application guide. It outlines how a small business providing lower risk Discretionary Investment Management Services (DIMS) can approach an application for a DIMS licence under the Financial Markets Conduct Act 2013 (FMC Act)..
    Tags
    Discretionary investment management scheme (DIMS), Licensing & registration, Roles, Business
    Type
    Page, Guidance