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Found 2575 results. Displaying page 31 of 172

  2. 1 December 2014

    KiwiSaver: Managed investment schemes

    KiwiSaver: Managed investment schemes information sheet describes the transition to FMC Act for a KiwiSaver MIS. It outlines a working example of the key activities and indicative timings for each step of the transition.
    Tags
    Roles, Business, Managed investment schemes, Supervisor
    Type
    Page, Guidance

  3. 24 February 2015

    Custodians of managed investment schemes information sheet

    This information sheet outlines the duties and responsibilities under the Financial Markets Conduct Act 2013 (FMC Act) for custodians of registered managed investment schemes.
    Tags
    Client money or property services provider, Roles, Business, Managed investment schemes
    Type
    PDF, Information Sheet

  9. 1 November 2014

    Statements of investment policy and objectives (SIPO) guidance

    This guidance note is for managers of Managed Investment Schemes and their Supervisors. It provides guidance on the expections of the FMA for your approach to SIPOs under Part 4 of the FMC Act 2013.
    Tags
    Roles, Business, Managed investment schemes, Supervisor
    Type
    PDF, Guidance

  10. 12 December 2017

    Open letter to managers of collective investment schemes

    Open letter to managers of collective investment schemes ahead of the anti-Money laundering and Countering Financing Terrorism Act 2009.
    Tags
    AML/CFT, Roles, Reporting entities, Business
    Type
    PDF, Guidance

  13. 10 May 2023

    Exemption notice - Sharesies Investment Management Limited

    The Notice exempts Sharesies Investment Management Limited (Sharesies) as manager of the Sharesies KiwiSaver Scheme (Scheme), and the self-select fund in the Scheme (self-select fund) from certain provisions of the Financial Markets Conduct Act 2013.
    Tags
    FMC Act, Legislation, Business
    Type
    PDF, Exemption notice

  14. 22 July 2022

    Exemption Notice - The City of London Investment Trust plc

    The Financial Markets Conduct (The City of London Investment Trust plc) Exemption Notice 2022, exempts The City of London Investment Trust plc from certain financial reporting obligations in Part 7 of the Financial Markets Conduct Act 2013.
    Tags
    Exemptions, Business
    Type
    PDF, Exemption notice

  15. 19 January 2023

    Managed Investment Scheme – Sector Risk Assessment

    This sector risk assessment (SRA) identifies some areas in the Managed Investment Schemes (MIS) sector the FMA considers to be higher risk.
    Tags
    Reports and Papers, KiwiSaver providers, Roles, Supervisors, Business, Managed investment schemes, News & Insights
    Type
    Page