Back

Search results

Found 4356 results. Displaying page 54 of 291

  1. 10 October 2016

    Consultation regulatory returns for prescribed intermediary services

    This consultation aims to gain feedback on our proposals for regulatory returns for licensed crowdfunding and peer-to-peer lending service providers.
    Tags
    Crowdfunding providers, Consultations, Roles, Business, Peer-to-peer lending service providers
    Type
    PDF

  2. 17 May 2016

    Consultation: Class exemption for property schemes

    Consultation to address the specific characteristics of property schemes (MIS) that recognises that full compliance with some specific requirements may be unnecessary and overly burdensome.
    Tags
    Roles, Consultations, Business, Supervisor
    Type
    PDF

  3. 3 April 2017

    Consultation paper Short duration derivatives

    This consultation is for: interested parties including offerors, investors and legal advisers. It aims to: gain feedback on the impact of a class designation for short duration derivatives.
    Tags
    Derivative Issuer, Consultations, Roles, Business
    Type
    PDF

  4. 22 November 2016

    Response to submissions on regulatory returns for prescribed intermediary services

    In October 2016 we consulted on the information we will request from crowdfunding and peer-to-peer lending licensees through annual regulatory returns. This document details our response to submissions.
    Tags
    Crowdfunding providers, Consultations, Roles, Business, Peer-to-peer lending service providers
    Type
    PDF

  7. 17 April 2018

    Consultation paper Proposed exemption to enable dual language PDS

    This consultation paper is for issuers of financial products and seeks feedback on the exemption proposal to enable issuers to provide dual-language PDSs.
    Tags
    Derivative Issuer, Offer disclosure for equity and debt offers, Consultations, Roles, Business
    Type
    PDF

  8. 1 August 2014

    Fair dealing provisions transitional arrangements for advertising information sheet

    The fair dealing provisions relating to “financial products” and “financial services” make it an offence to engage in misleading or deceptive conduct in relation to financial products or to make false, misleading or unsubstantiated representations about financial products.
    Tags
    Fair dealing, Derivative Issuer, Offer disclosure for equity and debt offers, Roles, Business
    Type
    PDF, Information Sheet

  9. 23 April 2015

    DIMS limit breaks under the FMC Act

    This information sheet outlines the obligations of Discretionary Investment Management Services (DIMS) providers under the Financial Markets Conduct Act 2013 (FMC Act) relating to investment authority limits and reporting breaches of those limits.
    Tags
    Discretionary investment management scheme (DIMS), Roles, Business
    Type
    PDF, Information Sheet

  12. 10 February 2016

    Regulatory impact statement - Investor warning and acknowledgement exemptions for the $750,000 minimum investment wholesale investor exclusion

    This regulatory impact statement analyses options considered in course of policy work leading to a final decision to exempt offerors of certain debt securities relying on the $750,000 minimum investment wholesale investor exclusion, on conditions, from having to include investor warnings on offer documents and obtain an investor acknowledgement.
    Tags
    RIS, Business
    Type
    PDF

  13. 29 May 2017

    Investor Confidence Survey 2017

    The FMA carried out investor research measuring attitudes
    towards, and investment in New Zealand’s financial markets. The survey was conducted by Colmar Brunton in 2017.
    Tags
    Reports and Papers, Investor capability, FMA, News & Insights
    Type
    PDF, Research

  15. 2 August 2021

    Retail Investor Platforms Research

    The objectives of the research were to understand the type of profile of investors in retail platforms; their risks and behaviours within these platforms and motivations and influences that brought them to where they are. The research was conducted by Colmar Brunton in July 2021
    Tags
    Business, FMA
    Type
    PDF, Research