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Found 6278 results. Displaying page 389 of 419

  1. 16 July 2018

    Guidance on the exemption from the market index requirement

    Guidance on the exemption from the market index requirement aims to clarify what we expect of MIS managers in relation to the market index requirement for quarterly fund updates, and the Financial Markets Conduct (Market Index) Exemption Notice 2018.
    Tags
    Directors, Offer disclosure for equity and debt offers, Roles, Business, Market operator
    Type
    Page, Guidance

  2. 17 December 2010

    IRA NRG NZ Limited (INNL)

    The Securities Commission warns people who have been invited to invest in Inertialess Drive ZPE (2010) Limited that its share offer is illegal. 17 December 2010
    Tags
    Suspected scam, Scams
    Type
    Page

  3. 5 November 2018

    FMA and RBNZ report on bank conduct and culture

    FMA and RBNZ have completed their joint review into the conduct and culture of 11 New Zealand banks. The review is the first of its kind in New Zealand.
    Tags
    Banking, Media release, Business, News & Insights
    Type
    Page

  4. 27 December 2017

    Identity Verification Code of Practice Explanatory Note

    The Amended Identity Verification Code of Practice 2013 (the code) clarified requirements for electronic identity verification following the implementation of the Electronic Identity Verification Act 2012 and the Identity Information Confirmation Act 2012. It replaced the previous Identity Verification Code of Practice 2011.
    Tags
    AML/CFT, Roles, Business
    Type
    PDF

  5. 7 July 2023

    Alvarium Wealth (NZ) Limited

    Alvarium Wealth (NZ) Limited, FSP20861 are licenced by the FMA as a Managed Investment Scheme Manager (MIS).
    Tags
    Reporting entities, Business
    Type
    Page

  6. 15 August 2019

    Koura Wealth Limited

    Koura Wealth Limited, FSP657491, is a licensed Managed Investment Scheme manager.
    Tags
    Licensed entity, Roles, Reporting entities, Business, Managed investment schemes
    Type
    Page

  7. 27 April 2023

    Change of manager director notification form

    Reg 191 form for FMCA licence types.
    Tags
    Crowdfunding providers, Roles, Business, Managed investment schemes, Peer-to-peer lending service providers, Supervisor
    Type
    PDF

  8. 1 September 2014

    Governance under Part 4 of the FMC Act guidance

    This guidance note is for Issuers of debt securities, managers of investment schemes and their supervisors. It gives guidance on the expectations of the FMA on your approach to governance and accountability responsibilities that apply to Part 4 of the FMC Act 2015.
    Tags
    Governance, Offer disclosure for equity and debt offers, Roles, Business, FMA, Managed investment schemes, Supervisor
    Type
    PDF, Guidance

  9. 1 November 2018

    Bank Conduct and Culture Review

    Findings from the 2018 FMA and RBNZ review of conduct and culture in New Zealand retail banks. The overall objective of this review was to understand whether there are widespread conduct and culture issues present in banks in New Zealand.
    Tags
    Banking, Conduct, Business
    Type
    PDF, Report

  10. 17 August 2023

    AML/CFT Explanatory Note: Electronic Identity Verification Guideline

    This Explanatory Note: Electronic Identity verification Guideline replaces the previous Explanatory Note that was published by the Anti-Money Laundering and Countering Financing of Terrorism (AML/CFT) Supervisors in December 2017.
    Tags
    AML/CFT, Compliance, Roles, Reporting entities, Business
    Type
    PDF, Guidance

  12. 6 May 2016

    Exemption notice - IAG Ltd

    Financial Markets Conduct Exemption Notice 2016: Insurance Australia Group Limited.
    Tags
    Exemptions, Business
    Type
    PDF

  14. 6 May 2016

    Exemption Notice APN

    Financial Markets Conduct Exemption Notice 2016: APN News & Media Limited.
    Tags
    Exemptions, Business
    Type
    PDF

  15. 18 May 2023

    Exemption Notice - Embark Early Education Limited

    The Financial Markets Conduct (Embark Early Education Limited) Exemption Notice 2023 exempts Embark Early Education Limited (Embark AU) from Part 3 of the Financial Markets Conduct Act 2013 (the Act) in relation to shares in Embark AU that are to be offered to eligible shareholders under a proposed scheme of arrangement pursuant to Part 15 of the Companies Act 1993.
    Tags
    FMC Act, Exemptions, Legislation, Business
    Type
    PDF, Exemption notice, Financial Markets Conduct Act exemptions, Current