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Found 4356 results. Displaying page 24 of 291

  1. 28 March 2022

    The One Management GP Limited and James Law Realty - Interim Stop Order

    FMA issued an interim stop order to The One Management GP Limited and James Law Realty regarding an offer in relation to The One in Longhorn Partnership Fund (‘the Fund’), which is only open to wholesale investors, including eligible investors. 28 March 2022
    Tags
    Enforceable action, Enforcement
    Type
    PDF

  2. 29 August 2022

    Kalkine New Zealand Limited - Direction Order

    FMA directs Kalkine New Zealand Limited to stop making outgoing sales calls to people in New Zealand following concerns about the entity’s misleading marketing conduct. 10 August 2022.
    Tags
    Financial Adviser, Investigations, Roles, Business, Consumer, Enforcement
    Type
    PDF

  3. 5 November 2019

    Declaration Fit and Proper - Audit /Management Partner

    This statutory declaration should be completed by Audit firms managing partner/s and should be submitted to the FMA when you apply for a licence to operate.
    Tags
    Auditors, Roles, Business
    Type
    PDF, Declaration form

  4. 5 November 2019

    Declaration Fit and Proper - Audit firms

    To comply with section 26(1)(d) of the Act the Firm must meet the minimum standards for audit firms set out in Auditor Regulation Act (Prescribed Minimum Standards and Conditions for Licensed Auditors and Registered Audit Firms) Notice 2012 (‘the prescribed minimum standards’) prescribed by FMA pursuant to section 32 (1) (g) of the Act. Clause 8(1)(c) of the prescribed minimum standards requires that all of the Firm’s partners must be fit and proper persons as assessed by FMA.
    This declaration provides evidence of the steps taken by the firm and the partner who signs this declaration to identify any relevant information and confirms the correctness and completeness of information provided.
    Tags
    Auditors, Licensing & registration, Roles, Business
    Type
    PDF, Declaration form

  6. 5 November 2019

    Declaration - Supervisors licence TRU2.1

    This is a supporting information checklist and statutory declaration for licensing under section 16 of the Financial Markets Supervisors Act 201l.
    Tags
    Roles, Business, Supervisor
    Type
    PDF, Declaration form

  8. 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

  9. 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

  10. 23 June 2023

    Climate-related disclosures regime and the use of third-party providers

    Guidance to assist climate reporting entities in understanding what they should consider before engaging a third-party provider to deliver services for the climate-related disclosures.
    Tags
    Authorised body under a FAP, Banking, Insurance Providers, Climate related disclosure, Financial Institutions, Roles, Climate Reporting Entities, Business, Managed investment schemes, News & Insights
    Type
    Page, Guidance

  11. 24 February 2015

    Related-party transactions under the Financial Markets Conduct Act 2013

    Related-party transactions under the Financial Markets Conduct Act 2013 information sheet outlines the rules on related-party transactions that apply to managed investment schemes under the Financial Markets Conduct Act 2013 (FMC Act).
    Tags
    Roles, Supervisors, Business, Managed investment schemes
    Type
    Page, Guidance

  12. 31 July 2017

    Offering securities in New Zealand and Australia under mutual recognition

    The Offering securities in New Zealand and Australia under mutual recognition guide explains what issuers have to do under the trans-Tasman mutual recognition scheme when making financial product offers in Australia and New Zealand.
    Tags
    Offer information, Managed Investment Schemes, Supervisors, Business
    Type
    Page, Guidance

  13. 1 August 2017

    Offering financial products in New Zealand and Australia under mutual recognition (MRSO)

    Offering financial products in New Zealand and Australia under mutual recognition (MRSO) guide is for New Zealand and Australian issuers offering financial products or interests in managed or collective investment schemes in both countries.
    Tags
    Offer information, Offer disclosure for equity and debt offers, Roles, Offers of financial products, Managed Investment Schemes, Business
    Type
    Page, Guidance