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Found 3787 results. Displaying page 10 of 253

  4. 3 February 2023

    V.I.P. FINANCIAL SERVICES LIMITED

    V.I.P. FINANCIAL SERVICES LIMITED (FSP467726) is an AML/CFT reporting entity
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  5. 3 February 2023

    PURPLE NINE FINANCIAL SERVICES TRUST LP

    PURPLE NINE FINANCIAL SERVICES TRUST LP (FSP1002811) is an AML/CFT reporting entity
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  7. 24 September 2020

    FMA reports on monitoring of financial services firms and advisers

    A report on the FMA's supervision activities over the past 18 months says large parts of the financial services sector are working hard to meet the FMA’s expectations, but called for further and more widespread improvements to governance and compliance.
    Tags
    Compliance, Derivatives, Directors, Regulation, Regulation updates, Ways to invest, Investing, Roles, Media release, Business, Consumer, News & Insights
    Type
    Page, Guidance

  8. 11 July 2019

    Cyber resilience in FMA regulated financial services

    This report 2019 summarises the findings of our thematic review of cyber-resilience in New Zealand financial services, and provides guidance for firms in areas where we have
    identified the need for improvement. It will be useful for our regulated sectors, to help ensure they comply with our expectations and best practice.
    Tags
    Financial Adviser, FMC Act, Reports and Papers, Roles, Legislation, Business, News & Insights
    Type
    PDF

  14. 19 February 2024

    Licensing Application Guide - Financial Services PART A

    To apply for a market service licence you need to read both PART A and PART B of our licensing application guide. PART A: (this guide) provides general guidance about the licensing process. This includes information about who needs a licence, how to login to the application portal and how to create a RealMe identity, if you don’t already have one (you’ll need one before you can apply).
    Tags
    Crowdfunding providers, Derivative Issuer, Independent trustee, Licence guide, Roles, Licensing & registration, Business, Managed investment schemes
    Type
    PDF