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  1. 25 March 2024

    EU Peter Harris signed redacted

    Executive Undertaking for Corporation Limited (In Liquidation) (CBLC) managing director Peter Harris
    Tags
    Type
    PDF

  2. 1 April 2019

    Financial Markets Conduct (Harbour Investment Funds) Exemption Notice 2019

    Financial Markets Conduct (Harbour Investment Funds) Exemption Notice 2019 exempts Harbour Asset Management Limited (Harbour), the manager of the Harbour Investment Funds (Scheme) from clauses 53(1)(c)(viii), 53(1)(j), 54(1)(a)(i), 54(1)(d) and 70(1)(a)(i) of Schedule 4 of the Financial Markets Conduct Regulations 2014 (Regulations). Read more.
    Tags
    Exemptions, Business
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    Page

  3. 4 April 2024

    Financial Markets Conduct Clearwater Golf Club Limited Exemption Notice 2024

    Clearwater Golf Club Limited (Clearwater) is exempted from Part 7 of the Financial Markets Conduct Act 2013 (the FMC Act). The Exemption Notice is subject to conditions which together replicate the financial reporting, auditing and annual reporting requirements under the Companies Act 1991.
    Tags
    Type
    PDF, Exemption notice

  4. 8 April 2024

    Standard Conditions for Peer to peer

    If you are granted a peer-to-peer (P2P) lending service licence, the licence will be subject to the following conditions.
    Tags
    Standard conditions, Roles, Licensing & registration, Business, Peer-to-peer lending service providers
    Type
    PDF

  5. 8 April 2024

    Standard conditions for MIS

    If the FMA grants you a licence to act as a manager of a non-restricted and registered managed investment
    scheme (MIS manager licence), the licence will be subject to conditions set out in section 402 of the
    Financial Markets Conduct Act 2013 (FMC Act).
    Tags
    Standard conditions, Roles, Licensing & registration, Business, Managed investment schemes, Supervisor
    Type
    PDF

  6. 8 April 2024

    Standard Conditions for Crowd Funding

    If you are granted a crowdfunding service licence, the licence will be subject to these standard conditions.
    Tags
    Crowdfunding providers, Standard conditions, Roles, Licensing & registration, Business
    Type
    PDF

  8. 1 March 2024

    TOR FX PTY LIMITED

    TOR FX PTY LIMITED, FSP1006222, is a licensed derivatives issuer.
    Tags
    Derivative Issuer, Roles, Licensed entity, Reporting entities, Business
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    Page

  9. 15 July 2022

    GEK Property Management DBG

    GEK Property Management DBG including: Vulcan Mortgage (No. 3) Limited Partnership, Vulcan Mortgage Limited Partnership, Vulcan Mortgage (No. 2) Limited Partnership, GEK Property Management Limited, Mortgage Holdings Limited, and PFS Mortgage Portfolio Limited Partnership
    Tags
    Roles, AML/CFT, Reporting entities, Business, Designated Business Group (DBG)
    Type
    Page

  10. 1 July 2019

    Fisher Funds Wealth Investments Limited Partnership

    Fisher Funds Wealth Investments Limited Partnership (previously known as Kiwi Wealth Investments Limited Partnership or Gareth Morgan Investments Limited Partnership) is an AML reporting entity.
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  11. 30 June 2022

    Fisher Funds Wealth Investments Limited Partnership - MIS

    Fisher Funds Wealth Investments Limited Partnership (previously known as Kiwi Wealth Investments Limited Partnership or Gareth Morgan Investments Limited Partnership), FSP46781, is a licensed Managed Investment Scheme Manager.
    Tags
    Licensed entity, Roles, Reporting entities, Business, Managed investment schemes
    Type
    Page

  12. 8 April 2024

    Standard Conditions for derivatives issuers

    If the FMA grants you a derivatives issuer licence under section 396 of the FMC Act, the licence will be subject to conditions detailed in this document.
    Tags
    Derivative Issuer, Standard conditions, Roles, Licensing & registration, Business
    Type
    PDF

  13. 22 April 2024

    Jarden Wealth Limited

    Jarden Wealth Limited is an AML/CFT reporting entity.
    Tags
    Type
    Page

  15. 7 July 2005

    Braemar Lodge 2004 Limited

    Braemar Lodge 2004 Limited offered participatory securities for subscription in conjunction with individual unit titles under the Unit Titles Act 1972 without a registered prospectus, investment statement or deed of participation. Braemar and the directors(Neil Gurdjieff Dougan, Ernest Ross Thomson) were, at the time of the offer, unaware that the offers had been made in contravention of the Securities Act 1978. Read more.
    Tags
    Enforceable undertaking, Powers, Enforcement
    Type
    Page