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Found 1923 results. Displaying page 22 of 129

  1. 20 October 2022

    Williams Corporation Capital Partnership GP Limited - Formal Warning

    The FMA issued a formal warning to Williams Corporation Capital Partnership GP Limited following concerns that it may have failed to give disclosures to investors as required by Part 3 of the Financial Markets Conduct Act 2013 because it relied on the wholesale investor exclusion in circumstances where they were not entitled to.
    Tags
    Offer disclosure for equity and debt offers, Roles, Business, Enforcement
    Type
    PDF

  3. 21 December 2011

    VonWin Capital Management, L.P.

    FMA asked VonWin for an enforceable undertaking and to include a statement provided by FMA at the beginning of any offer they send to Irongate bondholders to ensure they make an informed decision. Read more.
    Tags
    Enforceable undertaking, Powers, Enforcement
    Type
    Page

  6. 11 July 2012

    AML/CFT Countries assessment guideline

    This guideline is designed to help you decide when you need to undertake this assessment, and how you could go about it. It provides information only and cannot be relied on as evidence of complying with the requirements of the AML/CFT Act.
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    PDF

  7. 8 October 2021

    Guide to taking part in a rights issue

    FMA article about taking part in a rights issue or rights offer.
    Tags
    Shares, Ways to invest, Investing, Article, Consumer, News & Insights
    Type
    Page

  8. 7 June 2024

    Financial Advice Provider (FAP)

    A financial advice provider (FAP) is an individual or entity (e.g. a company) that provides a "financial advice service". Find out more about licensing, registration, costs and ongoing obligations as well as how to comply with the new Code of Professional Conduct for financial advice services including competence, knowledge and skill requirements as well as requirements for ethical behaviour, conduct and client care.
    Tags
    New Financial Advice regime, Compliance, Financial Advice Provider, Obligations, Licensing & registration, Roles, Financial Services Legislation Amendment Act (FSLAA), Business
    Type
    Page

  9. 8 August 2022

    When to contact us and who else may be able to help

    Whilst the FMA is always happy to help, In some situations, there are other Agencies and organisations who are best placed to help. This page has a list of links to other organisations that could be better placed to help based on your needs.
    Tags
    Type
    Page

  10. 30 September 2023

    Consultation paper proposed guidance on scheme wind ups

    FMA is considering guidance for Supervisors and (where there is no Supervisor) Managers of registered schemes on the requirements in section 212 (Initial steps in winding up of registered scheme) and section 213 (Winding-up report) of the Financial Markets Conduct Act 2013 (FMC Act).
    Tags
    Consultations, Managed Investment Schemes, Roles, Business, Managed investment schemes
    Type
    PDF, Consultation