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Found 2364 results. Displaying page 13 of 158

  1. 10 October 2022

    Consultation FAP Regulatory Returns Class 1

    This consultation document is intended for Class 1 licensed financial advice providers (FAPs).
    Tags
    Financial Advice Provider, Consultations, Roles, Business
    Type
    PDF

  3. 10 October 2022

    Questions for FAP Class 2 regulatory returns

    Questions you will be asked online when you submit your FAP Class 2 regulatory return.
    Tags
    Financial Advice Provider, Consultations, Regulatory returns, Roles, Business
    Type
    Word document

  5. 10 October 2022

    Consultation FAP Class 2 regulatory returns

    This consultation is intended for Class 2 licensed financial advice providers (FAPs).
    Tags
    Financial Advice Provider, Consultations, Regulatory returns, Roles, Business
    Type
    PDF

  7. 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

  8. 14 May 2014

    FMA seeks comments on proposed class exemption to apply to initial public offers

    Consultation paper: FMA seeks comments on proposed class exemption to apply to initial public offers. The Financial Markets Authority (FMA) is planning to consult on a proposed class exemption for firms making initial public offers (IPOs). Read more.
    Tags
    Offer information, Consultations, Exemptions, Business
    Type
    Page

  9. 16 August 2021

    How a family chat might have saved one man from losing $50,000 to an investment scam

    When a band of international scammers launches a sophisticated, multi-person project to fleece you out of your money, your best protection might be closer to home than you think.

    Bill* is in his early 70s, lives in a small provincial town and works in the health sector. He fell victim to an international share trading fraud which all began with an unsolicited phone call from a man in New York, ringing as part of a survey associated with Wall St Journal.
    Tags
    Consumer, Scams
    Type
    Page

  10. 18 January 2023

    FAP Licensing Application Guide Class 3 questions

    FAP Licensing Application Guide Class 3 questions: This document contains the questions you will be asked when applying for a Class 3 Financial Advice Provider full licence. It should be read alongside our guide to full licensing.
    Tags
    Financial Advice Provider, Licence guide, Roles, Licensing & registration, Business
    Type
    PDF

  12. 30 January 2023

    Consultationpaper: Renewal of class exemption for dual language (English and te reo Māori) product disclosure statements

    We are reviewing whether to renew for a further five years an existing class exemption notice that allows product disclosure statements to be provided in full in both te reo Māori and English (dual language PDSs).
    Tags
    Crowdfunding providers, Financial Adviser, Financial Institutions, Roles, Business, Managed investment schemes, Peer-to-peer lending service providers
    Type
    PDF

  13. 1 February 2016

    Fidelis International Trading Limited

    Fidelis International Trading Limited is not registered to provide financial services in New Zealand.
    Tags
    Investor warning, Unregistered business, Consumer
    Type
    Page

  15. 16 August 2017

    Standard Fidelity

    Standard Fidelity is not registered to provide financial services in New Zealand.
    Tags
    Investor warning, Unregistered business, Consumer
    Type
    Page