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  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

  4. 1 April 2015

    DIMS limit breaks under the FMC Act information sheet

    DIMS limit breaks under the FMC Act information sheet outlines the obligations of Discretionary Investment Management Services (DIMS) providers under the Financial Markets Conduct Act 2013 (FMC Act) relating to investment authority limits and reporting breaches of those limits.
    Tags
    Compliance, Discretionary investment management scheme (DIMS), Roles, Business
    Type
    Page, Guidance

  5. 1 August 2014

    Fair dealing provisions: Transitional arrangements for advertising information sheet

    Fair dealing provisions: Transitional arrangements for advertising information sheet is for Issuers and third parties who advertise in order to promote offers during the period 1 April 2014 to 30 November 2016 (‘transition period’) need to be aware of new FMC Act fair dealing provisions and how they apply.
    Tags
    Fair dealing, Roles, Offer disclosure for equity and debt offers, Crowdfunding providers, Business
    Type
    Page, Guidance

  6. 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

  7. 20 September 2023

    CREDENCE NZ LIMITED

    CREDENCE NZ LIMITED is an AML/CFT reporting entity.
    Tags
    Type
    Page