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  2. 1 October 2020

    COVID-19: Timetable of deferred Regulatory initiatives

    The table provides a list of the regulatory initiatives that are being deferred during the Covid-19 Alert Levels in August and September 2021. These deferrals will enable banks and other financial services firms to focus their efforts more effectively on continuing to operate smoothly and providing credit and other support to individuals and businesses.
    Tags
    COVID-19, News & Insights
    Type
    PDF, Notice

  5. 2 June 2017

    Amendment Notice 2017 FMC Shares in Investment Companies Designation

    The amendment notice amends the Financial Markets Conduct (Shares in Investment Companies) Designation Notice 2017 which came into force on the 19 May 2017. The notice declares that certain shares in investment companies are managed investment products rather than equity securities for the purposes of the FMC Act, but the princepal notice does not apply to shares that are NZX Main Board shares.
    Tags
    FMC Act, Legislation, Business
    Type
    PDF, Notice

  7. 18 February 2019

    Expense Disclosure CE Gifts July Dec 2018

    CE gifts and benefits disclosure for the period 1 July 2018 - 31 December 2018
    Tags
    Chief Executive Gifts and Benefits Disclosure, FMA
    Type
    PDF

  8. 1 November 2014

    Declaration by senior manager of related body

    This declaration should be completed by the the senior manager of a related body when applying for a market service licence. This is relevant to senior managers of crowd funding services; peer-to-peer; MIS managers; DIMS providers; Derivative issuers and independent trustees.
    Tags
    Crowdfunding providers, Derivative Issuer, Discretionary investment management scheme (DIMS), Independent trustee, Managed investment schemes, Peer-to-peer lending service providers, Roles, Declaration, Licensing & registration, Business
    Type
    Word document, Application form

  10. 1 September 2021

    FAP Licensing Application Guide Class 2 questions

    FAP Licensing Application Guide Class 2 questions: This document contains the questions you will be asked when applying for a Class 2 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

  14. 5 May 2017

    FMC (NZX Main Board/Debt Market Listing Rules) Approval of Rule Change Notice 2017)

    The changes approved in this notice are: a new NZX Corporate Governance Code that will replace existing Appendix 16 to the Listing Rules, changes to the Listing Rule 10.4.5, changes to references to the title of Appendix 16, and correction of a typographical error.
    Tags
    FMC Act, Legislation, Business
    Type
    PDF, Notice