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Found 1968 results. Displaying page 8 of 132

  1. 13 September 2021

    CLSAP (formerly KVB Kunlun) ordered to pay $770,000 for anti-money laundering breaches

    CLSA Premium New Zealand Limited (CLSAP NZ) has been ordered to pay a total pecuniary penalty of $770,000 for breaches of the Anti-Money Laundering and Countering Financing of Terrorism (AML/CFT) Act, following proceedings brought by the Financial Markets Authority – Te Mana Tātai Hokohoko (FMA).
    Tags
    AML/CFT, Roles, Media release, Judgment, Business, News & Insights, Enforcement
    Type
    Page

  2. 16 January 2017

    Consultation paper: Requirement for managers of multiple participant schemes to register participation agreements

    Consultation paper: Requirement for managers of multiple participant schemes to register participation agreements. The proposal is to exempt these managers from the requirement to register participation agreements entered into with the various employers they service which form part of the scheme’s governing document.
    Tags
    Managed investment schemes, Supervisor, Consultations, Roles, Business
    Type
    Page

  3. 5 July 2019

    Statement on the Kiwi Access Card

    Part 1, Section 2 of the amended Identity Verification Code of Practice 2013 (IVCOP) currently refers to the older 18+ card as an example of secondary or supporting form of photographic identification, which is to be used in conjunction with a form of primary nonphotographic identification such as a birth certificate in order to meet the standard set by the IVCOP.
    Tags
    AML/CFT, Regulation updates, Roles, Business
    Type
    PDF

  4. 3 November 2016

    Corruption in sport is just one of many types of fraud

    New Zealand’s latest film festival tackles a form of fraud that has hit news headlines around the world in recent years – the issue of corruption in sport. The film will be followed by a panel discussion with the sweetheart of NZ sport Valerie Adams, presenter Hayley Holt and Paul David QC who will discuss the effect corruption can have in the sporting arena.
    Tags
    Campaigns, Media release, Investing, Consumer, News & Insights
    Type
    Page

  6. 16 March 2015

    FMA contingency DIMS seminar - PowerPoint presentation

    FMA contingency DIMS seminar - PowerPoint presentation provides more information on: what is a DIMS, types of DIMS and decisions for AFA's currently authorised for DIMS.
    Tags
    Discretionary investment management scheme (DIMS), Roles, Business
    Type
    Page, Guidance

  8. 8 April 2024

    Peer-to-peer lending service providers

    Peer-to-peer lending is a type of financial market service covered by the FMC Act. Find out more about becoming a peer-to-peer lending service provider, the licensing and registration and compliance obligations along with exemptions available in New Zealand.
    Tags
    Compliance, Obligations, Licensing & registration, FMC Act, Exemptions, Roles, Legislation, Business, Peer-to-peer lending service providers
    Type
    Page

  11. 1 November 2014

    Declaration by director of relevant party to license

    Declaration form to be completed by director of a relevant party when the Applicant has applied for a market services licence under Part 6 of the Financial Markets Conduct Act 2013 (FMC Act) and disclosure is required by relevant parties, as defined in regulation 189 of the Financial Markets Conduct Regulations 2014 (Regulations).
    Tags
    Crowdfunding providers, Derivative Issuer, Discretionary investment management scheme (DIMS), Independent trustee, Managed investment schemes, Peer-to-peer lending service providers, Roles, Licensing & registration, Declaration, Business
    Type
    Word document, Application form

  12. 1 November 2014

    Declaration by senior manager of relevant party

    This declaration form should be completed by senior managers of a relevant party when applying for a market services licence under Part 6 of the Financial Markets Conduct Act 2013 (FMC Act) and disclosure is required by relevant parties, defined in regulation 189 of the Financial Markets Conduct Regulations 2014 (Regulations).
    Tags
    Crowdfunding providers, Derivative Issuer, Discretionary investment management scheme (DIMS), Independent trustee, Managed investment schemes, Peer-to-peer lending service providers, Licensing & registration, Roles, Declaration, Business
    Type
    Word document, Application form

  13. 1 November 2014

    Declaration by individual relevant party such as owner

    Declaration form to be completed by an individual relevant party such as an owner when applying for a market services licence under Part 6 of the Financial Markets Conduct Act 2013 (FMC Act) and disclosure is required by relevant parties, as defined in regulation 189 of the Financial Markets Conduct Regulations 2014 (Regulations).
    Tags
    Crowdfunding providers, Derivative Issuer, Discretionary investment management scheme (DIMS), Independent trustee, Managed investment schemes, Peer-to-peer lending service providers, Licensing & registration, Roles, Declaration, Business
    Type
    Word document, Application form

  14. 10 September 2020

    Te Reo Maori Financial Glossary He Reo Whairawa

    This project is centered on the research and development of a fundamental vocabulary of 100 wealth and investment terms. The development and promotion of this vocabulary will form a critical support for enhancing and promoting the use of te reo Māori in the wealth and investment sector, and related educational programmes. The review of existing vocabulary and the development of new vocabulary is done in collaboration with both industry and linguistic experts.
    Tags
    Business
    Type
    PDF, Resource

  15. 26 June 2024

    Statement of Intent

    The Statement of Intent sets out how we will measure our progress against our strategic intentions in the medium term. It should be read in conjunction with the annual Statement of Performance Expectations
    Tags
    Type
    Page, Corporate publications, Statement of intent