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Found 3700 results. Displaying page 20 of 247

  1. 13 November 2013

    Consultation licensing independent trustees

    Consultation: Draft minimum standards and licence conditions for independent trustees of restricted schemes.
    Tags
    Independent trustee, Roles, Consultations, Business
    Type
    PDF

  5. 1 March 2015

    RBNZ designation and oversight of designated settlement system

    This document explains Part 5C of the Reserve Bank of New Zealand Act 1989 and the roles and policies of the Reserve Bank and the Financial Markets Authority in relation to the designation and oversight of designated settlement systems.
    Tags
    Market operator, Regulation, Roles, Business
    Type
    PDF

  6. 1 May 2020

    Record keeping for financial advice providers

    This information sheet sets out our expectations for how licensed financial advice providers (FAPs) can demonstrate compliance with the standard condition for record keeping. It will be useful for small and medium-sized FAPs to consider the examples provided when reviewing their internal arrangements for creating and maintaining records.
    Tags
    Financial Advice Provider, Financial Adviser, FMC Act, Roles, Legislation, Business
    Type
    PDF, Guidance, Information Sheet

  10. 14 November 2021

    Consumer IPO information and guide

    This investor guide tells you what you need to know before investing in a new share offer
    Tags
    Shares, Ways to invest, Investor information, Investing, Consumer
    Type
    PDF

  12. 13 November 2013

    Consultation licensing derivatives issuers

    Consultation: Draft minimum standards and licence conditions for derivative issuers.
    Tags
    Derivative Issuer, Consultations, Roles, Business
    Type
    PDF

  13. 5 July 2022

    FMA consultation on Code Standard 3 Guidance

    Consultation paper: Proposed guidance on reasonable grounds for financial advice about IPOs and listed equity securities
    Tags
    Consultations, Business
    Type
    PDF, Consultation

  15. 24 August 2016

    Aug 2016 Regulatory response guidelines

    This is a guide on how we regulate financial markets and the responses we use in enforcing legislation. It is for all individuals and businesses involved in providing financial market products and services.
    Tags
    FMA people, Regulation, Business, FMA
    Type
    PDF, Guidance