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Found 6606 results. Displaying page 14 of 441

  1. 27 March 2019

    PCC decision - Richard Owen Dey and Michael Derek Wood

    The Professional Conduct Committee of the Chartered Accountants Australia New Zealand (CA ANZ) has published its findings in relation to Richard Owen Dey and Michael Derek Wood. Read more.
    Tags
    Auditors, Enforceable action, Roles, Reports and Papers, Business, News & Insights, Enforcement
    Type
    Page

  3. 19 May 2016

    Licensing guide - MIS managers of forestry schemes

    This guide supplements Part B of our licensing application guides. It explains to businesses providing a managed
    investment scheme (MIS) service of a forestry scheme how to approach their licence application under the Financial
    Markets Conduct Act 2013 (FMC Act).
    Tags
    Licence guide, Roles, Licensing & registration, Business, Managed investment schemes
    Type
    PDF

  4. 5 November 2019

    Declaration Fit and Proper - Audit firms

    To comply with section 26(1)(d) of the Act the Firm must meet the minimum standards for audit firms set out in Auditor Regulation Act (Prescribed Minimum Standards and Conditions for Licensed Auditors and Registered Audit Firms) Notice 2012 (‘the prescribed minimum standards’) prescribed by FMA pursuant to section 32 (1) (g) of the Act. Clause 8(1)(c) of the prescribed minimum standards requires that all of the Firm’s partners must be fit and proper persons as assessed by FMA.
    This declaration provides evidence of the steps taken by the firm and the partner who signs this declaration to identify any relevant information and confirms the correctness and completeness of information provided.
    Tags
    Auditors, Licensing & registration, Roles, Business
    Type
    PDF, Declaration form

  5. 5 November 2019

    Declaration - Supervisors licence TRU2.1

    This is a supporting information checklist and statutory declaration for licensing under section 16 of the Financial Markets Supervisors Act 201l.
    Tags
    Roles, Business, Supervisor
    Type
    PDF, Declaration form

  6. 14 July 2020

    Class legislative notice summary 2020

    This is a summary of the Financial Markets Conduct Act and Financial Adviser Act class legislative notices we have granted as at 30 June 2020. It includes exemptions, designations, frameworks or methodologies, and public accountability notices
    Tags
    FMC Act, Legislation, Business
    Type
    PDF, Notice

  7. 11 July 2022

    Class legislative notice summary 2022

    This is a summary of the Financial Markets Conduct Act class legislative notices we have granted as
    at 1 June 2022. It includes exemptions, designations, frameworks or methodologies, and public
    accountability notices.
    Tags
    Designations, FMC Act, Exemptions, Legislation, Business
    Type
    PDF

  8. 2 August 2023

    Class legislative notices summary 2023

    This is a summary of the Financial Markets Conduct Act class legislative notices we have granted
    (and are in force) as at 1 June 2023. It includes exemptions, designations, frameworks or
    methodologies, and public accountability notices.
    Tags
    FMC Act, Legislation, Business
    Type
    PDF, Notice

  9. 23 August 2023

    FMA acknowledges guilty verdict in Pushpay insider trading case

    FMA acknowledges today’s guilty verdict in the criminal trial of an individual accused of insider conduct in relation to the sale of shares in Pushpay Holdings Limited.
    Tags
    Media release, Insider trading, News & Insights, Enforcement
    Type
    Page

  10. 14 December 2017

    AML/CFT interpreting 'ordinary course of business' guideline

    The AML/CFT interpreting 'ordinary course of business' guideline is designed to help clarify the meaning of the phrase "in the ordinary course of business" in the definition of financial institution in the AML/CFT Act 2009. The meaning of this phrase is important if your business conducts one (or more) of the activities listed under the definitions of financial institution”, “designated non-financial business or profession”, and “high-value dealer” in the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (AML/CFT Act).
    Tags
    AML/CFT, Roles, Business
    Type
    Page, Guidance

  11. 28 February 2018

    Corporate governance in New Zealand: Principles and guidelines

    The Corporate governance in New Zealand: Principles and guidelines handbook assists directors, executives and advisers of non-listed and public-sector companies, and other entities, to apply corporate governance principles to their particular entity.
    Tags
    Directors, Roles, Business
    Type
    Page, Guidance

  12. 16 June 2021

    Financial advice given for the purpose of complying with lender responsibilities

    This information sheet explains the circumstances that may exclude a lender from some Financial Markets Conduct Act 2013 (FMC Act) obligations related to financial advice. The exclusion applies only in relation to consumer credit contracts and certain credit-related insurance contracts.
    Tags
    Financial Advice Provider, Financial Adviser, Roles, Financial Institutions, Business
    Type
    Page, Guidance

  13. 1 December 2020

    Green bonds – same class exclusion

    This information sheet explains the circumstances in which an issuer can make an offer of green bonds under the same class exclusion. It also explains when the Financial Markets Authority (FMA) might consider granting an individual exemption to facilitate offers of green bonds with the same credit characteristics as quoted ‘vanilla’ bonds from the same issuer.
    Tags
    Offer information, Offer disclosure for equity and debt offers, Roles, Business
    Type
    Page, Guidance

  14. 1 May 2015

    New requirements for lawyers offering contributory mortgages

    Since 1 July 2014, all lawyers and incorporated law firms operating under the Exemption Notice have been required to register as a financial service provider on the financial service providers register. Read more in the New requirements for lawyers offering contributory mortgages information sheet.
    Tags
    Offer information, Business
    Type
    Page, Guidance