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Found 1717 results. Displaying page 15 of 115

  3. 10 May 2023

    Exemption notice - Sharesies Investment Management Limited

    The Notice exempts Sharesies Investment Management Limited (Sharesies) as manager of the Sharesies KiwiSaver Scheme (Scheme), and the self-select fund in the Scheme (self-select fund) from certain provisions of the Financial Markets Conduct Act 2013.
    Tags
    FMC Act, Legislation, Business
    Type
    PDF, Exemption notice

  4. 22 July 2022

    Exemption Notice - The City of London Investment Trust plc

    The Financial Markets Conduct (The City of London Investment Trust plc) Exemption Notice 2022, exempts The City of London Investment Trust plc from certain financial reporting obligations in Part 7 of the Financial Markets Conduct Act 2013.
    Tags
    Exemptions, Business
    Type
    PDF, Exemption notice

  5. 19 January 2023

    Managed Investment Scheme – Sector Risk Assessment

    This sector risk assessment (SRA) identifies some areas in the Managed Investment Schemes (MIS) sector the FMA considers to be higher risk.
    Tags
    Reports and Papers, KiwiSaver providers, Roles, Supervisors, Business, Managed investment schemes, News & Insights
    Type
    Page

  6. 1 March 2014

    Monitoring investment risk in KiwiSaver schemes

    Monitoring investment risk in KiwiSaver schemes guidance note is designed to assist Trustees of retail non-restricted KiwiSaver schemes (Trustees), in performing their functions effectively.
    Tags
    Supervisors, Roles, Business, Managed investment schemes
    Type
    Page, Guidance

  7. 19 September 2023

    Craigs Investment Partners Self-select schemes

    The FMA granted a waiver of part of the FMA levy to Craigs Investment Partners Self-Select Schemes (Craigs) on 9 October 2023 pursuant to Regulation 14 of the Financial Markets Authority (Levies) Regulations 2012.
    Tags
    Waivers, Roles, Business, Managed investment schemes
    Type
    Page

  13. 14 March 2024

    SPS Investment Services Limited/Wilby Securities

    We recommend caution when dealing with SPS Investment Services Limited and/or Wilby Securities and their websites.
    Tags
    Suspected scam, Investor warning, Consumer, Scams
    Type
    Page

  14. 31 October 2015

    New Zealand Discretionary Investment Management Services Limited

    New Zealand Discretionary Investment Management Services Limited (Previous name: Stewart Group Wealth Management Limited), FSP441406, is licensed to provide Discretionary Investment Management Services (DIMS).
    Tags
    Discretionary investment management scheme (DIMS), Licensed entity, Roles, Reporting entities, Business
    Type
    Page

  15. 19 October 2022

    InvestNow Saving and Investment Service Limited

    The FMA has issued a formal warning to InvestNow Saving and Investment Service Limited for failing to comply with the Anti-Money Laundering and Countering Financing of Terrorism (AML/CFT) Act.
    Tags
    Powers, AML/CFT, Roles, Formal warning, Business, Enforcement
    Type
    Page