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  1. 6 April 2018

    Financial Markets Conduct (Incidental Offers) Exemption Amendment Notice 2018

    Financial Markets Conduct (Incidental Offers) Exemption Amendment Notice 2018, which comes into force on the day after the date of its notification in the Gazette, amends the Financial Markets Conduct (Incidental Offers) Exemption Notice 2016 (the 2016 notice).Expired.
    Tags
    Exemptions, Secondary legislation, Business
    Type
    Page

  2. 1 November 2018

    Consultation paper: Determining whether you are acquiring a business or assets

    Consultation paper: Determining whether you are acquiring a business or assets. This guidance has been finalised and published. We received four formal submissions, which all supported the proposals. Therefore, no significant changes have been made. Read more
    Tags
    Directors, Consultations, Roles, Business
    Type
    Page

  4. 16 August 2011

    Nationwide anti-money laundering seminars help businesses prepare for new law

    Financial service businesses will be learning about the need to tighten up customer identification processes and look out for suspicious financial transactions in a series of seminars around the country that started in Wellington on Monday.
    Tags
    AML/CFT, Media release, Roles, Business, News & Insights
    Type
    Page

  10. 7 February 2018

    Designation Amendment Notice MIPs

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

  13. 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