A guide to the FMA’s view of conduct – NZBA’s submission

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Financial Markets Authority

Also read: Our suggested amendments (DOCx)

NZBA welcomes the opportunity to provide feedback to the Financial Markets Authority (FMA) on “A guide to the FMA’s view of conduct” (Guide), and commends the work that has gone into developing it.

NZBA supports the publication of the Guide, and considers it to be of particular assistance in light of the global focus on ‘conduct risk’, as it sets out the FMA’s general view of its expectations of market participants’ behaviour.

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