Back

Search results

Found 3196 results. Displaying page 26 of 214

  3. 17 November 2015

    FMA issues sales and advice monitoring report

    FMA published its first monitoring report on practices in sales and advice within New Zealand’s financial services sector.
    Tags
    Offer information, Governance, FMC Act, Fair dealing, Financial advice, Legislation, Media release, Business, Consumer, FMA, News & Insights
    Type
    Page

  4. 10 March 2023

    Financial Services Legislation Amendment Act 2019 (FSLAA)

    The Financial Services Legislation Amendment Act 2019 (FSLAA) introduces a new framework for giving financial advice in New Zealand. Read a summary of the changes, the FMA's role, who needs a licence and get information on how to apply for a licence on these pages.
    Tags
    Compliance, New Financial Advice regime, Authorised body under a FAP, Financial Advice Provider, Financial Adviser, Roles, Business, Interposed persons under new financial advice regime, Nominated representatives
    Type
    Page

  6. 22 November 2019

    AML/CFT Supervisory framework

    FATF has issued a comprehensive plan of action needed to fight against anti-money laundering/countering financing of terrorism (AML/CFT). The objective of the framework is to protect the integrity of the financial sector.
    Tags
    AML/CFT, Reports and Papers, Roles, Business, News & Insights
    Type
    PDF

  9. 31 August 2022

    Stream-Gold Financial Services Limited

    Stream-Gold Financial Services Limited (Christopher Batisan) is an AML/CFT reporting entity
    Tags
    AML/CFT, Roles, Reporting entities, Business
    Type
    Page

  12. 30 April 2015

    SPI directors fined for breaching financial reporting rules

    The two directors of SPI Property Fund Limited have today been fined $25,312 each for breaches of the Financial Reporting Act in the Auckland District Court. Read more.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  13. 10 April 2019

    AxiCorp Financial Services Pty Ltd

    AxiCorp Financial Services Pty Ltd is an AML reporting entity
    Tags
    AML/CFT, Roles, Reporting entities, Business
    Type
    Page

  14. 6 November 2020

    FMA releases standard conditions for licensing of financial advice

    The Financial Markets Authority (FMA) has released the final standard conditions for a full Financial Advice Provider licence and confirmed three classes of financial advice service, following an extensive consultation with the industry.
    Tags
    Compliance, New Financial Advice regime, Regulation, Media release, Business, News & Insights
    Type
    Page

  15. 9 August 2012

    New Chair for Financial Adviser Code Committee

    The Code Committee for Authorised Financial Advisers (AFAs) has elected David Ireland as Chair for the next 12 months.
    Tags
    Governance, Media release, FMA, News & Insights
    Type
    Page