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Found 3699 results. Displaying page 19 of 247

  4. 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

  5. 1 June 2016

    Investor Confidence Research 2016

    This is the fourth year that FMA has carried out investor research measuring attitudes towards, and investment in New Zealand’s financial markets.
    Tags
    Reports and Papers, FMA, News & Insights
    Type
    PDF, Research

  9. 16 June 2021

    Financial advice lender exclusion updated 2021

    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. Updated documented published 16/06/21
    Tags
    Financial Adviser, Roles, Business
    Type
    PDF, Information Sheet

  10. 13 November 2013

    Consultation licensing independent trustees

    Consultation: Draft minimum standards and licence conditions for independent trustees of restricted schemes.
    Tags
    Independent trustee, Roles, Consultations, Business
    Type
    PDF

  14. 1 March 2015

    RBNZ designation and oversight of designated settlement system

    This document explains Part 5C of the Reserve Bank of New Zealand Act 1989 and the roles and policies of the Reserve Bank and the Financial Markets Authority in relation to the designation and oversight of designated settlement systems.
    Tags
    Market operator, Regulation, Roles, Business
    Type
    PDF

  15. 1 May 2020

    Record keeping for financial advice providers

    This information sheet sets out our expectations for how licensed financial advice providers (FAPs) can demonstrate compliance with the standard condition for record keeping. It will be useful for small and medium-sized FAPs to consider the examples provided when reviewing their internal arrangements for creating and maintaining records.
    Tags
    Financial Advice Provider, Financial Adviser, FMC Act, Roles, Legislation, Business
    Type
    PDF, Guidance, Information Sheet