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Found 1611 results. Displaying page 17 of 108

  1. 1 May 2014

    New governance and accountability framework for debt issuers and their licensed supervisors

    The Financial Markets Conduct (FMC) Act 2013 changes the governance and accountability framework for financial products. Find out what these changes mean for debt issuers and their licensed supervisors in the New governance and accountability framework for debt issuers and their licensed supervisors information sheet.
    Tags
    Offer disclosure for equity and debt offers, Supervisors, Roles, Business
    Type
    Page, Guidance

  2. 18 October 2023

    Exemption Notice - Financial Markets Conduct (Product Disclosure Statements in Te Reo Māori and English) Exemption Notice 2023

    The Financial Markets Conduct (Product Disclosure Statements in Te Reo Māori and English) Exemption Notice 2023 provides an exemption for issuers of financial products who wish to provide their PDS in both te reo Māori and English, providing relief from the requirements in the FMC Regulations relating to the prescribed length limits and, if necessary, some prescribed statements and formatting.
    Tags
    Exemptions, Business
    Type
    PDF

  6. 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

  8. 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

  11. 19 October 2023

    Consultation: Renewal of class exemption for dual language (English and te reo Māori) product disclosure statements

    We are reviewing whether to renew for a further five years an existing class exemption notice that allows product disclosure statements to be provided in full in both te reo Māori and English (dual language PDSs). This exemption provides relief to issuers of financial products from the prescribed length limits and, if necessary, some prescribed statements and formatting. The two languages provided in the PDS must accurately and fully reflect each other, and both comprise the entire PDS.
    Tags
    Consultations, Authorised body under a FAP, Client money or property services provider, Financial Adviser, Crowdfunding Service Provider, Offers of financial products, Financial Institutions, Financial Advice Provider, Offer disclosure for equity and debt offers, Discretionary investment management scheme (DIMS), Derivative Issuer, Roles, Crowdfunding providers, Business, Interposed persons under new financial advice regime, Peer-to-peer lending service providers
    Type
    Page

  12. 1 March 2024

    Financial Markets Conduct (Australian Licensees) Exemption Notice 2020

    Financial Markets Conduct (Australian Licensees) Exemption Notice 2020 (view the notice) will exempt certain Australian financial services licence holders and their representatives, on conditions, from certain requirements in the FMC Act that will apply when the new financial advice regime comes into force on 15 March 2021.
    Tags
    Exemptions, Business
    Type
    Page

  14. 18 October 2023

    Financial Markets Conduct (Product Disclosure Statements in Te Reo Māori and English) Exemption Notice 2023

    The Financial Markets Conduct (Product Disclosure Statements in Te Reo Māori and English) Exemption Notice 2023 provides an exemption for issuers of financial products who wish to provide their PDS in both te reo Māori and English, providing relief from the requirements in the FMC Regulations relating to the prescribed length limits and, if necessary, some prescribed statements and formatting.
    Tags
    Exemptions, Business
    Type
    Page

  15. 6 May 2024

    Statement of Intent 2013 - 2016

    Our SOI has a four-year outlook and follows the SRO by identifying the performance measures we will use to mark our progress towards achieving our regulatory objectives. This is our 2013 - 2016 report.
    Tags
    Type
    PDF, Statement of intent, Corporate publications