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Found 3700 results. Displaying page 176 of 247

  3. 11 October 2023

    Saltaire Finance - Unregistered business, unsolicited offers

    We are aware that a representative from saltairefinanceplc.com has made unsolicited contact to a New Zealand resident and offered investment in shares. The Financial Markets Conduct Act 2013 prohibits unsolicited offers of financial products.
    Tags
    Investor warning, Consumer
    Type
    Page

  4. 28 September 2023

    Market operators

    A financial product market is a facility where financial products are bought or sold, or where offers or invitations to buy or sell financial products are made. Find the compliance, licensing and registration obligations and NZX notices on this page.
    Tags
    Compliance, Roles, Obligations, Licensing & registration, Business, Market operator
    Type
    Page

  5. 5 September 2022

    Directors

    The office of a director carries with it a wide range of ethical, legal and commercial duties and obligations. This page provides a range of guidance and resources to assist directors in their duties in New Zealand.
    Tags
    Directors, Roles, Business
    Type
    Page

  7. 5 September 2023

    Governance Thematic Review FMA and RBNZ

    This publication reports on the findings from a joint review of 29 entities across the banking, insurance, non-bank deposit taking and investment management sectors to assist boards to meet their obligations and help drive good governance outcomes.
    Tags
    Directors, Banking, Conduct, Reports and Papers, Insurance Providers, Conduct of Financial Institutions Bill (CoFI), Roles, Business, News & Insights
    Type
    PDF

  8. 4 October 2023

    Guidance for keeping proper climate related disclosure records

    This guidance note is for entities that have climate-related
    disclosure obligations under Part 7A of the Financial Markets
    Conduct Act 2013. It is intended to help climate reporting
    entities (CREs) meet their statutory requirement to keep
    proper climate-related disclosure records at all times.
    Tags
    Climate related disclosure, Climate Reporting Entities, Roles, Business, Managed investment schemes, Supervisor
    Type
    PDF, Guidance

  9. 30 September 2023

    Consultation paper proposed guidance on scheme wind ups

    FMA is considering guidance for Supervisors and (where there is no Supervisor) Managers of registered schemes on the requirements in section 212 (Initial steps in winding up of registered scheme) and section 213 (Winding-up report) of the Financial Markets Conduct Act 2013 (FMC Act).
    Tags
    Consultations, Managed Investment Schemes, Roles, Business, Managed investment schemes
    Type
    PDF, Consultation

  12. 4 September 2023

    Westpac CC and FMA EU

    Enforcement undertakings to the FMA and Commerce Commission, Westpac CC and FMA EU
    Tags
    Enforceable Undertaking, Enforceable undertaking, Powers, Enforcement
    Type
    PDF

  14. 12 May 2020

    Scams Samoan language

    This Scams information sheet has been designed for Samoan-speaking audiences to quickly identify if they've been scammed and who to contact.
    Tags
    Investor information, Consumer, Scams
    Type
    PDF

  15. 15 September 2022

    WIW2022 Logos

    World Investor Week 2022 promotion materials. This zip file includes logos
    Tags
    Campaigns, Investing, Consumer
    Type