Back

Search results

Found 6277 results. Displaying page 3 of 419

  1. 1 March 2016

    Consultation paper Exemptions impacting overseas businesses and restricted schemes 1

    This consultation is for: FMC reporting entities, licensed
    managers and scheme auditors, overseas banks, licensed independent trustees, restricted scheme managers, advisers and interested parties. It aims to seek feedback on the
    exemption proposals explained.
    Tags
    Independent trustee, Managed investment schemes, Consultations, Roles, Business
    Type
    PDF

  2. 1 July 2016

    AML CFT How to complete your annual CFT user guide 1

    This user guide is designed to help financial advisers to complete their annual AML/CFT report (annual
    report) quickly and easily. It clarifies the questions in the report template that may be open to interpretation and identifies questions that are unlikely to be relevant to small financial adviser businesses. It does not include the questions that don’t need explanation. This guide is current for 2016.
    Tags
    AML/CFT, Roles, Business
    Type
    PDF, Resource

  5. 5 June 2020

    Crowd1 and Impact Crowd Technology S.L.

    We recommend exercising caution before dealing with Crowd1 and Impact Crowd Technology S.L. as they are not registered companies or financial service providers in New Zealand.
    Tags
    Investor warning, Unregistered business, Consumer
    Type
    Page

  6. 1 October 2007

    KiwiSaver guideline no.KSGN1: Unreasonable fees

    KiwiSaver guideline no.KSGN1: Unreasonable fees guidance note provides general guidance on how the Government Actuary will view fees to be charged directly to a KiwiSaver Scheme.
    Tags
    Roles, Business, Managed investment schemes, Supervisor
    Type
    Page, Guidance

  7. 28 October 2010

    Adviser Regulation Ready To 'Go-Live' On 1 December

    The Commissioner for Financial Advisers has taken the last formal step required for the introduction of the new financial advisers regulatory regime, with publication in the Gazette that 1st December 2010 will be the date on which the Code of Professional Conduct for Authorised Financial Advisers (AFAs) comes into effect.
    Tags
    Media release, News & Insights
    Type
    Page

  10. 19 March 2024

    Licensing application guide - Crowd funding PART B1

    Your guide to applying for a market service licence under the Financial Markets Conduct Act.
    All the questions you’ll be asked, the minimum standards you’ll need to show you meet, and information about the details and supporting documents you’ll need to provide
    Tags
    Crowdfunding providers, Roles, Licence guide, Licensing & registration, Business
    Type
    PDF

  12. 18 June 2015

    Milford Asset Management to pay $1.5 million following FMA investigation

    The FMA has reached an agreement with Milford to resolve the issues relating to Milford (but excluding the trader) arising from the investigation, under which Milford has agreed to make payments totalling $1.5m. Read more.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page