331 results found

The Commissioner identified misconduct as a "large and endemic problem", caused by greed by both licensees and advisers.

The regulatory waters will lap higher and colder from 1 May when the new Financial Markets Authority (FMA) is established and related legislative reforms affecting the operation of capital markets commence.

The prudential regime that the NBDT Bill envisaged goes well beyond the finance companies it was designed to regulate.

Discussion of the power, genesis and application of the FMA.

The clearance and authorisation provisions under the Commerce Act.

All lenders of consumer credit in New Zealand need to review and update documentation and procedures by 1 June 2020.

This is Part 6 of a detailed submission by Chapman Tripp in relation to the draft Financial Markets Conduct Bill.

This Brief Counsel highlights some of the key changes to the Bill, particularly in relation to the liability settings.

The legislation to set up the Financial Markets Authority (FMA) creates a new right for the regulator to initiate or take over legal proceedings against financial market participants on behalf of investors.

2008 will see some major changes for the New Zealand insurance industry with the tabling of two Bills in late 2007 for the financial industry at large, and a further bill specific to insurance contracts to be tabled shortly.

The Ministry of Justice has now released its consultation document on first priority matters in relation to the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (the AML/CFT Act). This will provide an important opportunity to influence key design elements of the new regime, including which entities and transactions should be exempt, various applicable threshold values, customer due diligence (CDD), third party reliance and designated business group issues, and annual rep

The Australian Financial System Inquiry Report, delivered on Sunday, makes 44 recommendations.

This article outlines the purpose and intended timing of the regulations, the disclosures framework and some key issues.

Discusses business opportunity for overseas investment regimes in NZ.

This is Part 3 of a detailed submission by Chapman Tripp in relation to the draft Financial Markets Conduct Bill.

The Amendment Bill includes minor changes, but much of the regulation will come from the forthcoming Code of Conduct.

The Securities Law Review has played a good first half and all the indications are that it will maintain form through the game.