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Found 6593 results. Displaying page 317 of 440

  1. 1 April 2019

    AML/CFT Monitoring Report

    The AML/CFT Monitoring Report summarises our monitoring activities to help firms and individuals better understand our expectations and how they can improve their systems and processes, to comply with the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (the Act).
    Tags
    AML/CFT, Directors, Roles, Business
    Type
    Page, Guidance

  2. 1 August 2013

    AML/CFT acting on behalf of a customer fact sheet

    AML/CFT acting on behalf of a customer fact sheet. A person acting on behalf of a customer is subject to the same identification requirements as the customer.
    The fact sheet should be read in conjunction with the beneficial ownership guideline.
    Tags
    AML/CFT, Roles, Business
    Type
    Page, Fact sheet, Guidance

  3. 30 August 2018

    AML/CFT staff training video

    The AML/CFT staff training video is designed to help our reporting entities understand how they can meet their obligation of training new and existing staff.
    Tags
    AML/CFT, Compliance, Roles, Business
    Type
    Page, Guidance

  4. 30 May 2018

    Compliance Assurance Programmes

    The Compliance Assurance Programmes information sheet is for entities holding or applying for a licence under the Financial Markets Conduct Act 2013, and anyone involved in the creation, implementation and ongoing operation of a compliance assurance programme.
    Tags
    Crowdfunding providers, Directors, Cryptocurrencies, Roles, Legislation, Derivative Issuer, Discretionary investment management scheme (DIMS), Business, Peer-to-peer lending service providers
    Type
    Page, Guidance

  5. 26 June 2015

    Calculation of returns for DIMS providers

    The Calculation of returns for DIMS providers information sheet outlines what methodology we expect providers of Discretionary Investment Management Services (DIMS) licensed under the Financial Markets Conduct Act 2013 (Act) (DIMS licensees) to use when calculating returns required by the Financial Markets Conduct Regulations 2014 (Regulations).
    Tags
    Discretionary investment management scheme (DIMS), Roles, Business
    Type
    Page, Guidance, Information Sheet

  7. 1 October 2018

    Class exemptions for managing intermediaries

    Class exemptions for managing intermediaries information sheet explains the conditions for reporting entities whose customers include managing intermediaries and customers of managing intermediaries to be able to rely on the Anti-Money Laundering and Countering Financing of Terrorism (Class Exemptions) Notice 2018.
    Tags
    AML/CFT, Roles, Financial Advice Provider, Business
    Type
    Page, Guidance

  8. 1 November 2013

    Changes ahead for Financial Reporting - FMA Fact Sheet

    The Financial Reporting Bill currently before Parliament is going to change the reporting requirements for all ‘Financial Markets Conduct (FMC) Reporting Entities’.
    Tags
    Type
    Page, Financial reporting, Guidance

  9. 22 October 2015

    Custodians’ obligations information sheet

    The Custodians' obligations information sheet outlines the obligations of custodians under the Financial Advisers (Custodians of FMCA Financial Products) Regulations 2014.
    Tags
    Client money or property services provider, Roles, Business
    Type
    Page, Guidance

  10. 11 July 2019

    Cyber-resilience in FMA-regulated financial services guidance

    Cyber-resilience in FMA-regulated financial services report summarises the findings of our thematic review of cyber-resilience in New Zealand financial services and provides guidance for firms in areas where we have identified the need for improvement. It will be useful for our regulated sectors, to help ensure they comply with our expectations and best practice.
    Tags
    Derivative Issuer, Crowdfunding Service Provider, Financial Adviser, Financial Advice Provider, Offer disclosure for equity and debt offers, Discretionary investment management scheme (DIMS), Cryptocurrencies, Client money or property services provider, Authorised body under a FAP, Roles, Directors, Crowdfunding providers, Business, Interposed persons under new financial advice regime, FMA, Managed investment schemes, Market operator, Peer-to-peer lending service providers, Supervisor, Nominated representatives
    Type
    Page, Guidance

  11. 1 December 2014

    Debt offers: continuous information sheet

    The Debt offers: continuous information sheet provides an overview of the transition to the FMA Act for a Debt offers – continuous. It outlines a working example of the key activities and indicative timings for each step of the transition.
    Tags
    FMC Act, Legislation, Business
    Type
    Page, Guidance

  12. 1 December 2014

    Debt offers: one off information sheet

    Debt Offers: one off, information Sheet Debt offers one-off outlines the transition of Debt offers one-off (Excluding banks and non-bank deposit takers) to FMC Act. It outlines a working example of the key activities and indicative timings for each step of the transition.
    Tags
    Offer information, FMC Act, Legislation, Business
    Type
    Page, Guidance

  13. 15 February 2018

    Designation of certain shares in investment companies as managed investment products

    Designation of certain shares to MIPs information sheet explains the class notice which designates certain shares in investment companies as managed investment products, and the company which issues them as a managed investment scheme.
    Tags
    Roles, Business, Managed investment schemes, Supervisor
    Type
    Page, Guidance

  14. 28 February 2018

    Corporate governance in New Zealand: Principles and guidelines

    The Corporate governance in New Zealand: Principles and guidelines handbook assists directors, executives and advisers of non-listed and public-sector companies, and other entities, to apply corporate governance principles to their particular entity.
    Tags
    Directors, Roles, Business
    Type
    Page, Guidance

  15. 2 August 2016

    Crowdfunding services for property investments – meeting the eligibility criteria

    Crowdfunding services for property investments – meeting the eligibility criteria, information sheet is designed to help crowdfunding services offering property investment (‘property crowdfunding’) meet the eligibility criteria for a licensed crowdfunding service in New Zealand.
    Tags
    Crowdfunding providers, Roles, Business
    Type
    Page, Guidance