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Found 3197 results. Displaying page 69 of 214

1. 14 November 2018

   Financial Advisers (Personalised Digital Advice) Exemption Amendment Notice (No 2) 2018

   Financial Advisers (Personalised Digital Advice) Exemption Amendment Notice (No 2) 2018 notice amends the principal notice to add Cigna Life Insurance New Zealand Limited (Cigna Life Insurance) to that list of entities. Read more.

   Tags

   Exemptions, Secondary legislation, Business

   Type

   Page

2. 1 December 2016

   Financial Markets Conduct (Overseas Banks Offering Simple Debt Products) Exemption Notice 2016

   Financial Markets Conduct (Overseas Banks Offering Simple Debt Products) Exemption Notice 2016

   Tags

   Exemptions, Secondary legislation, Business

   Type

   Page

3. 5 November 2019

   Financial Markets Conduct (Insider Trading – Fonterra Co-operative Group Limited) Exemption Notice 2019

   The Financial Markets Conduct (Insider Trading – Fonterra Co-operative Group Limited) Exemption Notice 2019 is a renewal of the exemption granted under the Financial Markets Conduct (Insider Trading – Fonterra Co-operative Group Limited) Exemption Notice 2014 which expires on 30 November 2019.

   Tags

   Exemptions, Secondary legislation, Business

   Type

   Page

4. 5 June 2015

   Consultation paper: Proposed financial reporting exemptions for small and medium-sized DIMS providers

   Consultation paper: Proposed financial reporting exemptions for small and medium-sized DIMS providers. We consulted on a class exemption for small and medium-sized licensed DIMS providers from certain financial reporting obligations. This consultation is now closed.

   Tags

   Discretionary investment management scheme (DIMS), Consultations, Exemptions, Roles, Business

   Type

   Page

5. 22 May 2017

   Consultation paper: Proposed exemption from the obligation to prepare scheme financial statements for bundled unit trusts

   Consultation paper: Proposed exemption from the obligation to prepare scheme financial statements for bundled unit trusts. It exempts from the requirement to prepare financial statements for the scheme (as opposed to financial statements for each of the separate funds) provided the criteria in clause 5 are met. Read more.

   Tags

   Consultations, Roles, Business, Managed investment schemes, Supervisor

   Type

   Page

6. 28 October 2016

   Financial Markets Conduct (Communal Facilities in Real Property Developments) Exemption Notice 2016

   Financial Markets Conduct (Communal Facilities in Real Property Developments) Exemption Notice 2016 - expired

   Tags

   Exemptions, Secondary legislation, Business

   Type

   Page

7. 18 August 2016

   AMP Wealth Management Limited - Notice under section 68 of the Financial Markets Conduct Act 2013 Reduction of waiting period

   AMP Wealth Management Limited - Notice under section 68 of the Financial Markets Conduct Act 2013 Reduction of waiting period

   Tags

   Waivers, Business

   Type

   PDF

8. 23 December 2020

   Financial Markets Conduct (Overseas Banks Offering Simple Debt Products) Exemption Amendment Notice 2020

   Financial Markets Conduct (Overseas Banks Offering Simple Debt Products) Exemption Amendment Notice 2020

   Tags

   Exemptions, Secondary legislation, Business

   Type

   Page

9. 8 December 2022

   www.ctrlex.com is not associated with financial service provider, CTRL Investments Limited

   WARNING: www.ctrlex.com is not registered as a financial service provider in New Zealand.

   Tags

   Imposter website, Scams

   Type

   Page

10. 21 October 2022

    Investor warning: Easy Trade Investment not registered to provide financial services in New Zealand

    WARNING: Easy Trade Investment claims to trade in foreign exchange, stock, bonds, and cryptocurrencies through their trading platform, however, it is not a registered Financial Service Provider in New Zealand.

    Tags

    Scams

    Type

    Page

11. 20 December 2021

    Warning: aspireinvestments.ltd is not registered to provide financial services to New Zealand residents

    WARNING: aspireinvestments.ltd is not a registered financial service provider in New Zealand and is therefore not permitted to provide financial services to New Zealand residents. FMA have received reports that investors in this website are unable to withdraw their funds.
    

    Tags

    Investor warning, Unregistered business, Consumer

    Type

    Page

12. 19 December 2022

    Investor alert - Artemis Investment Limited is not registered to provide financial services in New Zealand

    WARNING: Artemis Investment Limited is not registered to provide financial services in New Zealand.

    Tags

    International regulator alerts, Scams

    Type

    Page

13. 3 February 2023

    Consultation: Proposed guidance on reasonable grounds for financial advice about IPOs and listed equity securities

    We are consulting on proposed guidance that explains the FMA’s approach to applying and enforcing Code Standard 3 of the Code of Professional Conduct for Financial Advice Services, in relation to financial advice about Initial Public Offerings (IPOs) and listed equity securities.

    Tags

    Consultations, Financial Advice Provider, Financial Adviser, Roles, Business, Nominated representatives

    Type

    Page

14. 12 September 2022

    Consultation: Proposed regulatory returns for licensed Class 3 Financial Advice Providers (FAPs)

    Consultation on the proposed regulatory returns for licensed Class 3 Financial Advice Providers (FAPs).

    Tags

    Financial Advice Provider, New Financial Advice regime, Roles, Consultations, Authorised body under a FAP, Business

    Type

    Page

15. 10 October 2022

    Consultation: Proposed regulatory returns for licensed Class 2 financial advice providers (FAPs)

    CONSULTATION CLOSED - This consultation is primarily intended for Class 2 licensed financial advice providers.

    Tags

    Financial Advice Provider, Consultations, Regulatory returns, Roles, Business

    Type

    Page, Open, Consultation