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Found 3698 results. Displaying page 18 of 247

  1. 7 February 2018

    Designation Amendment Notice MIPs

    Financial Markets Conduct (Shares in Investment Companies) Designation Amendment Notice 2018
    Tags
    Designations, Business
    Type
    PDF, Notice

  4. 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

  7. 13 November 2013

    Consultation licensing DIMS providers

    Consultation: Draft minimum standards and licence conditions for Discretionary Investment Management Service (DIMS) providers.
    Tags
    Discretionary investment management scheme (DIMS), Consultations, Roles, Business
    Type
    PDF

  8. 31 August 2022

    REDE ADVISERS LIMITED

    REDE ADVISERS LIMITED is an AML reporting entity
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  10. 26 September 2019

    Managed Fund Guide - Funds for everyone

    Your guide to choosing, buying and monitoring
    managed funds and exchange traded funds (ETFs).
    Tags
    Managed funds, Ways to invest, Investing, Investor information, Consumer
    Type
    PDF

  11. 18 November 2019

    Audit investor guide 2019

    Companies listed on the share market must have their financial statements independently audited, and present a report from the auditor to investors in their annual report. This guide informs investors of the obligations imposed by the FMA on auditing of their financials.
    Tags
    Obligations, Auditors, Roles, Business
    Type
    PDF, Information Sheet