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Found 4107 results. Displaying page 108 of 274

  2. 30 September 2016

    Advertising Standards Authority - MOU

    MOU concerning consultation, cooperation and the exchange of information between the FMA and the Advertising Standards Authority
    Tags
    Regulation update, FMA
    Type
    PDF, MOU

  5. 1 June 2012

    Licence Application Guide - overseas Auditors and Audit Firm registrations

    This guide is for overseas auditors and overseas audit firms. It explains how: an overseas audit firm can apply for authorisation of its registration; overseas auditors can apply for licences (which are not transitional licences and are referred to in this guide as ‘standard’ licences).
    Tags
    Auditors, Licence guide, Roles, Licensing & registration, Business
    Type
    PDF

  6. 19 May 2016

    Licensing guide - MIS managers of forestry schemes

    This guide supplements Part B of our licensing application guides. It explains to businesses providing a managed
    investment scheme (MIS) service of a forestry scheme how to approach their licence application under the Financial
    Markets Conduct Act 2013 (FMC Act).
    Tags
    Licence guide, Roles, Licensing & registration, Business, Managed investment schemes
    Type
    PDF

  8. 28 January 2022

    Application Form - Supervisors Licence TRU1.1

    Application Form for Financial Markets Supervisors Licence
    (For a New Licence or to Replace an Expiring Licence) TRU1.1
    Tags
    Licensing & registration, Roles, Business, Supervisor
    Type
    PDF, Application form

  9. 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

  11. 15 August 2016

    Legislative notices supporting the FMC Act regime

    To support businesses implementing the Financial Markets Conduct Act 2013 (FMC Act), the FMA has been working, in consultation with the sector, on various legislative tools such as exemptions, frameworks, methodologies, public accountability notices, and designations (the FMA’s legislative tools).
    We have also been working with the Ministry of Business, Innovation, and Employment (MBIE) on the
    amendments to the Financial Markets Conduct Regulations 2014 (FMC Regulations). These tools and
    regulatory amendments are designed to help businesses and individuals comply with the requirements
    of the FMC Act regime.
    Tags
    Crowdfunding providers, Derivative Issuer, FMC Act, Roles, Legislation, Business, Managed investment schemes, Peer-to-peer lending service providers
    Type
    PDF, Notice

  13. 7 June 2017

    KiwiSaver annual statements methodology notice

    This notice comes into force on 2017 and applies to accounting periods of KiwiSaver schemes that commence on or after the commencement date of this notice. The notice sets out a methodology which managers of KiwiSaver schemes must comply with when calculating the approximate total sum of the fees paid by each of their scheme participants. This information (which must be expressed as a dollar amount) must be included in the confirmation information that KiwiSaver providers are required to provide to each scheme participant each year pursuant to the Financial Markets Conduct Act 2013 (Act).
    Tags
    KiwiSaver providers, Roles, Business, Managed investment schemes
    Type
    PDF, Notice

  14. 14 July 2020

    Class legislative notice summary 2020

    This is a summary of the Financial Markets Conduct Act and Financial Adviser Act class legislative notices we have granted as at 30 June 2020. It includes exemptions, designations, frameworks or methodologies, and public accountability notices
    Tags
    FMC Act, Legislation, Business
    Type
    PDF, Notice

  15. 19 May 2016

    FMA legislative notices supporting the FMC Act

    To support businesses implementing the Financial Markets Conduct Act 2013 (FMC Act), the FMA has been working, in consultation with the sector, on various legislative tools such as exemptions, frameworks, methodologies, public accountability notices, and designations to help businesses and individuals comply with the Act.
    Tags
    FMC Act, Legislation, Business
    Type
    PDF, Notice