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Found 1967 results. Displaying page 7 of 132

  1. 1 June 2014

    Declaration by independent trustee individual

    Declaration form to be completed by individual independent trustees.
    Tags
    Independent trustee, Roles, Licensing & registration, Declaration, Business
    Type
    Word document, Application form

  2. 1 October 2014

    Declaration by executive director of related body

    Declaration form to be completed by executive director's of a related body.
    Tags
    Directors, Authorised body under a FAP, Roles, Declaration, Licensing & registration, Business
    Type
    Word document, Application form

  3. 1 May 2024

    No rest for the scammed: Recovery room fraudsters prey on past victims

    A recovery room scam is a form of ‘advance fee’ scam, where money is requested before funds can be returned. Targets of these scams are those who have already been a victim of a scam.
    Tags
    Real life scam stories, News, Consumer, News & Insights, Scams
    Type
    Page

  6. 1 March 2024

    Financial Markets Conduct (Climate-related Disclosures – Commonwealth Bank of Australia New Zealand) Exemption Notice 2024

    The Notice permits CBA to report only in relation to certain group members (CBA Group) and exempts CBA from reporting in relation to other group members (being ASB Holdings Limited and ASB Bank Limited and its subsidiaries) that are required otherwise to form part of the climate statements to be prepared for CBA’s New Zealand business under section 461ZB(3)(a) of the Act. With the exception of ASB Holdings Limited, the subsidiaries excluded from the CBA Group climate statements will be included in other climate statements pursuant to section 461ZA of the Act.
    Tags
    Exemptions, Business
    Type
    Page
    • Suspected scam

    13 May 2024

    Fake Celebrity Investment Scam – Multiple trading platforms

    The FMA has received several reports regarding fake celebrity or fake influencer endorsement advertisements on social media, promoting online investment schemes.
    Tags
    Suspected scam, Investor warning, Consumer, Scams
    Type
    Page

  8. 15 November 2023

    Consultation: Proposed fair outcomes for consumers and markets

    Have your say on the proposed fair outcomes and approach that will form the basis of how the FMA engages with financial service providers. Submissions are now closed.
    Tags
    Consultations, Authorised body under a FAP, Client money or property services provider, Cryptocurrencies, Directors, Discretionary investment management scheme (DIMS), Offer disclosure for equity and debt offers, Financial Advice Provider, Crowdfunding Service Provider, Offers of financial products, Derivative Issuer, Independent Trustee, Peer to peer lending provider, Roles, Compliance, Business, Interposed persons under new financial advice regime, Managed investment schemes, Supervisor
    Type
    Page

  9. 23 February 2023

    Notice of approved auditing courses

    Section 3(1)(e) of the prescribed minimum standards requires an individual who applies for a licence (under section 11 of the Act) after 30 June 2014 to have successfully completed a professional course in auditing approved by FMA. For the purposes of this section, FMA has approved the professional courses in auditing as documented in this PDF.
    Tags
    Auditors, Roles, Licensing & registration, Business
    Type
    PDF

  10. 15 December 2022

    AML/CFT Designated Business Group – Formation and Change Guideline

    This guideline 2022 is designed to help reporting entities forming a designated business group (DBG) to understand the process for doing so. Entities may form a DBG if they are eligible to do so under the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (the AML/CFT Act) and associated regulations.
    Tags
    AML/CFT, Obligations, Roles, Business, Designated Business Group (DBG)
    Type
    PDF, Guidance

  11. 6 July 2016

    Mr Paul Clifford Hibbs and Hansa Limited

    Anyone who has been in contact with Mr Hibbs or Hansa in relation to the offer of financial advice, investment services, or any other form of financial product or service, is encouraged to contact us.
    Tags
    Investigations, Enforcement
    Type
    Page

  12. 7 August 2017

    Consultation paper: Proposed exemption from the market index requirement

    Consultation paper: Proposed exemption from the market index requirement. he exemption applies to the manager of a fund that invests, in whole or in part, in assets that do not have an appropriate market index. Read more.
    Tags
    Consultations, Roles, Business, Market operator
    Type
    Page

  14. 16 July 2021

    Birth Certificates with Redacted Information

    The Anti-Money Laundering and Countering the Financing of Terrorism (AML/CFT) Supervisors have produced this factsheet to confirm their position is that certain details may be redacted by a customer from their birth certificate if it is used for identity verification purposes when conducting customer due diligence.
    Tags
    AML/CFT, Client money or property services provider, Compliance, Crowdfunding providers, Cryptocurrencies, Financial Adviser, Independent trustee, Obligations, Roles, Business, Supervisor
    Type
    Page, Guidance