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Found 3230 results. Displaying page 4 of 216

  2. 17 November 2017

    Bridge Capital Advisors

    The Australian Securities and Investments Commission (ASIC) warn that Bridge Capital Advisors could be involved in a scam and is an unlicensed entity in Australia.
    Tags
    Suspected scam, International regulator alerts, Scams
    Type
    Page

  3. 21 May 2020

    Financial Markets Conduct (Canterbury Mortgage Trust Group Investment Fund) Exemption Notice 2020

    The Financial Markets Conduct (Canterbury Mortgage Trust Group Investment Fund) Exemption Notice 2020 exempts Canterbury Fund Managers Limited in respect of the Canterbury Mortgage Trust Group Investment Fund (Scheme) from requirements under the Financial Markets Conduct Act 2013 to prepare and submit audited financial statements in relation to the Scheme’s balance date of 31 March 2020. tion Notice 2020 grants an exemption in favour of small to medium-sized licensed providers of DIMS. It provides relief from certain financial reporting and audit obligations under the FMC Act.
    Tags
    Exemptions, Secondary legislation, Business
    Type
    Page

  4. 26 June 2015

    DIMS providers Calculation of returns for information sheet

    This information sheet outlines what methodology we expect providers of Discretionary Investment Management Services (DIMS) licensed under the Financial Markets Conduct Act 2013 (Act) (DIMS licensees) to use when calculating returns required by the Financial Markets Conduct Regulations 2014 (Regulations).
    Tags
    Discretionary investment management scheme (DIMS), Roles, Business
    Type
    PDF, Information Sheet

  6. 9 November 2022

    Monitoring of licensed Financial Advice Providers (FAPs)

    The Monitoring of licensed Financial Advice Providers information sheet explains how we carry out monitoring activities, what we expect of you, and what you can expect from us.
    Tags
    Financial Advice Provider, Roles, Business
    Type
    Page, Guidance

  7. 26 June 2015

    Calculation of returns for DIMS providers

    The Calculation of returns for DIMS providers information sheet outlines what methodology we expect providers of Discretionary Investment Management Services (DIMS) licensed under the Financial Markets Conduct Act 2013 (Act) (DIMS licensees) to use when calculating returns required by the Financial Markets Conduct Regulations 2014 (Regulations).
    Tags
    Discretionary investment management scheme (DIMS), Roles, Business
    Type
    Page, Guidance, Information Sheet

  8. 15 March 2018

    Fair dealing in advertising and communications – crowdfunding and peer-to-peer lending

    Fair dealing in advertising and communications – crowdfunding and peer-to-peer lending guidance aims to ensure licensed crowdfunding and peer-to-peer lending platforms understand their obligations when advertising or communicating with customers.
    Tags
    Fair dealing, Crowdfunding providers, Roles, Business, Peer-to-peer lending service providers
    Type
    Page, Guidance

  9. 28 September 2023

    Catalist market operator obligations review

    Findings from the FMA's annual review of how well Catalist is meeting its licensed market operator obligations.
    Tags
    Reports and Papers, Roles, Business, Market operator, News & Insights
    Type
    Page

  10. 28 September 2023

    Catalist market operator obligations review 2023

    Findings from the FMA’s review of how well Catalist is meeting its licensed market operator obligations, for the period 1 April 2022 to 31 March 2023.
    Tags
    Roles, Reports and Papers, Business, Market operator, News & Insights
    Type
    PDF

  11. 2 November 2023

    MaxTradeCap - Suspected scam

    MaxTradeCap has made false and unsubstantiated claims about being a registered and licensed financial entity in New Zealand.
    Tags
    Suspected scam, Investor warning, Consumer, Scams
    Type
    Page

  12. 9 February 2023

    Licensed & reporting entities

    The businesses/people listed on this page have been granted a licence or have been authorised by the FMA. It's important to only deal with licensed people and businesses because if things go wrong you will have access to free dispute resolution services. Find out further details including the provider's business address, list of services and the name of their independent dispute resolution scheme on the Financial Service Providers Register.
    Tags
    Crowdfunding providers, Roles, Derivative Issuer, Discretionary investment management scheme (DIMS), Independent trustee, Licensing & registration, Asia Region Funds Passport Register, Reporting entities, Licensed entity, Business, Managed investment schemes, Market operator, Peer-to-peer lending service providers, Supervisor, Designated Business Group (DBG)
    Type
    Page

  13. 27 February 2024

    Monitoring of licensed Financial Advice Providers information sheet

    The Monitoring of licensed Financial Advice Provider (FAP) information sheet explains how we carry out monitoring activities, what we expect of you, and what you can expect from us.
    Tags
    Financial Advice Provider, Roles, Business
    Type
    PDF, Information Sheet

  14. 14 February 2024

    Application pack - Australian Auditor

    This application pack contains documents for an individual who is a registered company auditor under the Corporations Act 2001 (AU) to seek registration for an equivalent occupation under s 19 of the Trans-TAsman Mutual Recognition Act 1997 as a licensed auditor under the Auditor Regualtion Act 2011.
    Tags
    Auditors, Licensing & registration, Roles, Business
    Type
    PDF, Application form