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  3. 3 November 2014

    Consultation Paper: Issuers’ Registers of Regulated Products and FMA’s Discretion under Section 224

    Consultation Paper: Issuers’ Registers of Regulated Products and FMA’s Discretion under Section 224. This paper gives an overview of the requirements relating to issuers’ registers of regulated products under Subpart 4 of Part 4 of the Financial Markets Conduct Act 2013 (FMC Act).
    Tags
    FMC Act, Legislation, Offer disclosure for equity and debt offers, Consultations, Roles, Business
    Type
    Page

  9. 19 October 2022

    ISG DBG

    ISG DBG including: Clarity Funds Management Limited, Devon Funds Management Limited, JMI Wealth Limited, Select Wealth Management Limited and TAHITO Limited
    Tags
    AML/CFT, Roles, Designated Business Group (DBG), Business
    Type
    Page

  12. 3 July 2018

    Class legislative notice summary 2018

    This is a summary of the Financial Markets Conduct Act and Financial Adviser Act class legislative notices we have granted as at 2 July 2018. It includes exemptions, designations, frameworks or methodologies, and public accountability notices.
    Tags
    FMC Act, Legislation, Business
    Type
    PDF, Notice

  13. 3 November 2014

    Consultation Paper: Issuers’ Registers of Regulated Products and FMA’s Discretion under Section 224

    Consultation Paper: Issuers’ Registers of Regulated Products and FMA’s Discretion under Section 224. This paper gives an overview of the requirements relating to issuers’ registers of regulated products under Subpart 4 of Part 4 of the Financial Markets Conduct Act 2013 (FMC Act).
    Tags
    FMC Act, Legislation, Offer disclosure for equity and debt offers, Consultations, Roles, Business
    Type
    Page

  14. 9 July 2018

    Consultation paper on legislative notices and unnecessary compliance cost

    This consultation paper is for participants who rely on our legislative notices; legal advisers; and other interested parties. It seeks feedback on whether any notice granted by us insufficiently addresses, or inadvertently creates, unnecessary compliance costs.
    Tags
    Consultations, Business
    Type
    PDF