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  2. 4 December 2018

    NZICA accredited body report 2018

    This report contains the outcome of our assessment of NZ Institute of Chartered Accountants (NZICA) for the period 1 July 2017 to 30 June 2018.
    Tags
    Auditors, Roles, Business
    Type
    PDF, Report

  3. 7 December 2015

    151207 Property Syndicate Checklist

    This checklist explains some of the things to consider before you invest in a property syndicate. You should be able to find answers to these questions in the documents you are
    given that explain the investment.
    Tags
    Investor information, Consumer
    Type
    PDF

  7. 9 July 2020

    High Risk Jurisdictions subject Call for Action FATF July2020

    FATF describes high-risk jurisdictions subject to a “Call for Action” as having significant strategic deficiencies in their regimes to counter money laundering, terrorist financing, and financing of proliferation. Two countries are on this high-risk list: North Korea and Iran.
    Tags
    AML/CFT, Roles, Business
    Type
    PDF

  11. 12 December 2017

    NZICA accredited body report 2017

    This report contains the findings of our monitoring assessment of the New Zealand Institute of Chartered Accountants
    (NZICA) for the period 1 July 2016 to 30 June 2017.
    Tags
    Monitoring, Reports and Papers, Auditors, Roles, Business, News & Insights
    Type
    PDF

  12. 1 June 2014

    Certificate of compliance and authority to apply applicant or their authorised person

    Certification of Applicant's compliance with requirements and authority to apply for market service licence under Part 6 of the FMC Act 2013. This is relevant to Crowd funding; Peer-to-peer; MIS; DIMS; derivative issuers and independent trustee applicants.
    Tags
    Crowdfunding providers, Derivative Issuer, Discretionary investment management scheme (DIMS), Independent trustee, Managed investment schemes, Peer-to-peer lending service providers, Roles, Business
    Type
    Word document, Application form

  15. 15 February 2013

    consultation paper financial advisers australian licensee notice

    The Financial Markets Authority (FMA, or we) are reviewing the Financial Advisers (Australian Licensees) Exemption Notice 2011 (Financial Advisers (Australian Licensees) notice) which expires on 30 June 2013.
    FMA is keen to hear the views of Australian financial service licence holders who are relying on the Financial Advisers (Australian Licensees) notice and selected stakeholders to determine whether or not to renew the exemption.
    Tags
    Financial Adviser, Consultations, Roles, Business
    Type
    PDF