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Found 7 results. Displaying page 1 of 1

  1. 2 July 2015

    Class exemptions for managing intermediaries

    150702 Information sheet: class exemptions for managing intermediaries
    A ministerial class exemption has been granted relating to customer due diligence obligations for managing intermediaries, under the Anti-Money Laundering and Countering Financing of Terrorism Act 2009. The exemption comes into force from 3 July, 2015. This information sheet helps reporting entities understand it.

    http://fma.govt.nz/compliance/guidance-library/supervisors/class-exemptions-for-managing-intermediaries/

  2. 1 May 2014

    New governance and accountability framework for debt issuers and their licensed supervisors

    140501 New governance and accountability framework for debt issuers and their licensed supervisors
    The Financial Markets Conduct (FMC) Act 2013 changes the governance and accountability framework for financial products. Find out what these changes mean for debt issuers and their licensed supervisors

    http://fma.govt.nz/compliance/guidance-library/supervisors/new-governance-and-accountability-framework-for-debt-issuers-and-their-licensed-supervisors-3/

  3. 21 September 2011

    Securities trustees and statutory supervisors

    Guidance note Supervisor licencing
    This guidance note is for persons wishing to apply to FMA for licences under the Act. It explains the key steps involved in licensing and the licensing timetable. It also specifies the licensing criteria and describes the information FMA requires to determine whether an applicant is capable of effectively performing the functions of a trustee or statutory supervisor for the security or retirement village covered by the licence for which it is applying.
    Previous Versions

    http://fma.govt.nz/compliance/guidance-library/supervisors/securities-trustees-and-statutory-supervisors/