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Found 574 results. Displaying page 14 of 39

1. 1 May 2014

   Governance and accountability framework for restricted schemes and their trustees information sheet

   The Financial Markets Conduct (FMC) Act 2013 changes the governance and accountability framework for financial products. Find out what these changes mean for restricted schemes
   and their trustees.

   Tags

   Governance, Regulation updates, Roles, Business, FMA, Managed investment schemes

   Type

   PDF, Information Sheet

2. 30 April 2014

   Securities Trustees and Statutory Supervisors - Feedback from monitoring visits

   This monitoring report and the guidance issued by us in June 2013 on Monitoring by Securities Trustees and Statutory Supervisors have been designed to help licensees move towards best standards of compliance.
   

   Tags

   Reports and Papers, Independent trustee, Roles, Business, News & Insights, Supervisor

   Type

   PDF

3. 28 October 2021

   Exemption Notice - Corporate Trustees

   Corporate Trustees Exemption Notice 2021

   Tags

   Exemptions, Business

   Type

   PDF

4. 23 March 2021

   Exemption notice - Financial Markets Conduct Trustee Executors Limited

   Financial Markets Conduct (Trustees Executors Limited) Exemption Notice 2021

   Tags

   Exemptions, Business

   Type

   PDF

5. 14 November 2016

   Exemption notice - Financial Markets Conduct Complectus Trustee Services Limited

   Financial Markets Conduct (Complectus Trustee Services Limited) Exemption Notice 2016

   Tags

   Exemptions, Business

   Type

   PDF

6. 11 November 2016

   Exemption notice - Financial Markets Conduct Corporate Trustees

   Financial Markets Conduct (Corporate Trustees) Exemption Notice 2016

   Tags

   Exemptions, Business

   Type

   PDF

7. 3 June 2016

   Exemption Notice - Financial Markets Conduct Trustpower Group

   Financial Markets Conduct (Trustpower Group) Exemption Notice 2016

   Tags

   Exemptions, Business

   Type

   PDF

8. 17 August 2012

   KA Trustees and Hanover Finance - Court of Appeal Judgment

   Court of Appeal Judgment issued in favour of the FMA in the case against KA Trustees and Hanover Finance.

   Tags

   Cases, Enforcement

   Type

   PDF

9. 19 July 2019

   Syndicated Trusts - Stop Order

   The Stop Order issued by the FMA The Stop Order prohibits STL from certain activity, including:distributing communications and advertisements about itself or the offer of financial products,
   accepting applications or money for financial products.

   Tags

   Enforceable Undertaking, Enforcement

   Type

   PDF

10. 28 August 2017

    Prince and Partners Trustee Company Ltd - Settlement Agreement

    Settlement Agreement with Prince & Partners Trustee Company Limited, 25 August 2017.

    Tags

    Settlement, Enforcement

    Type

    PDF

11. 13 December 2021

    Squirrel P2P Trustee Limited - Public Warning

    Public warning issued under Section 9 of the Financial Markets Authority Act 2011 regarding Squirrel P2P Trustee Limited, FSP 415167. 13 December 2021.

    Tags

    Enforcement

    Type

    PDF

12. 29 August 2023

    Cryptotrusthub – Imposter website, unreasonable withdrawal fees

    We are aware that a New Zealand resident who put money into Cryptotrusthub has had difficulty withdrawing funds. We are concerned that Cryptotrusthub has features of a scam.

    Tags

    Imposter website, Investor warning, Consumer, Scams

    Type

    Page

13. 1 September 2023

    Pallas Trustees Limited

    Pallas Trustees Limited is an AML reporting entity.

    Tags

    Type

    Page

14. 16 December 2020

    Complying with the prohibition on the notice of trusts on registers

    This information sheet explains the FMA’s expectations in regards to how issuers of regulated products can comply with the prohibition on the notice of trusts being entered on the register that is required to be kept by the issuer.

    Tags

    Roles, Offers of financial products, Derivative Issuer, Business

    Type

    Page, Guidance

15. 1 June 2013

    Securities trustees and statutory supervisors monitoring

    Securities trustees and statutory supervisors monitoring guidance note is for licensed securities trustees and statutory supervisors. It sets out the Financial Market Authority’s (FMA) expectations of how they will carry out their monitoring functions effectively.

    Tags

    Independent trustee, Roles, Supervisors, Business

    Type

    Page, Guidance