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  5. 11 November 2014

    Directors of SPI companies agree to enforceable undertakings

    Murray Rex Alcock and Allister Ronald Knight (the Directors), of the various entities comprising the SPI group of companies (including SPI Property Fund Limited), have provided enforceable undertakings to the FMA. Read more.
    Tags
    Media release, News & Insights, Enforcement
    Type
    Page

  6. 13 September 2018

    Guide to being an effective director

    The essentials of being an effective director outlines some of the essential behaviours directors should demonstrate to meet legal, regulatory and ethical standards for directors, and tells you where you can go to find out more.
    Tags
    Directors, Roles, Business
    Type
    Page, Guidance

  8. 31 August 2022

    POLSON HIGGS WEALTH MANAGEMENT LTD

    POLSON HIGGS WEALTH MANAGEMENT LTD is an AML reporting entity
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  15. 13 December 2019

    MIS custody arrangements thematic review 2019

    For any managed investment scheme it’s important that scheme property – money and investments – is kept safe. The function of looking after scheme property is called custody. Under the Financial Markets Conduct Act 2013 (FMC Act), custody for retail managed investment schemes is the responsibility of the independent licensed supervisor. This separates custody functions from management of the scheme, and provides an additional layer of protection for investors.
    Tags
    Reports and Papers, Derivative Issuer, Roles, Business, Managed investment schemes, News & Insights, Supervisor
    Type
    PDF, Report