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Found 5974 results. Displaying page 19 of 399

  1. 1 December 2019

    Financial Markets Conduct (Disclosure of Relevant Interests by Directors & Senior Managers) Exemption Notice 2019

    The Financial Markets Conduct (Disclosure of Relevant Interests by Directors and Senior Managers) Exemption Notice 2019 continues the relief granted in the Financial Markets Conduct (Disclosure of Relevant Interests by Directors and Senior Managers) Exemption Notice 2014, which is revoked at the close of 30 November 2019.
    Tags
    Exemptions, Secondary legislation, Business
    Type
    Page

  4. 30 July 2021

    Angel HQ Incorporated

    Angel HQ Incorporated are an AML/CFT reporting entity.
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  7. 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

  9. 6 October 2021

    Persons spreadsheet - Supporting document for Auditors

    Persons spreadsheet - Supporting document for Auditors. Complete the relevant columns giving a list of all partners indicating those who are members of a professional body and those who hold practising certificate, the name and website address of the professional body and a link to, any publicly available online register of members published by the body.
    Tags
    Authorised body under a FAP, Roles, Business
    Type
    Spreadsheet, Submission form

  12. 14 November 2017

    Consultation FMA Corporate Governance handbook

    This consultation is for the directors, executives and advisers of non-listed and public-sector companies and other
    entities. We seek feedback about whether our revised
    handbook helps directors, executives and advisers to think about how to apply corporate governance principles.
    Tags
    Governance, Directors, Consultations, Roles, Business, FMA
    Type
    PDF

  14. 1 November 2014

    Declaration by senior manager of relevant party

    This declaration form should be completed by senior managers of a relevant party when applying for a market services licence under Part 6 of the Financial Markets Conduct Act 2013 (FMC Act) and disclosure is required by relevant parties, 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, Licensing & registration, Roles, Declaration, Business
    Type
    Word document, Application form