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Found 4106 results. Displaying page 175 of 274

1 November 2014

Declaration by director of relevant party to license

Declaration form to be completed by director of a relevant party when the Applicant has applied for a market services licence under Part 6 of the Financial Markets Conduct Act 2013 (FMC Act) and disclosure is required by relevant parties, as defined in regulation 189 of the Financial Markets Conduct Regulations 2014 (Regulations).

Tags

Crowdfunding providers, Derivative Issuer, Discretionary investment management scheme (DIMS), Independent trustee, Managed investment schemes, Peer-to-peer lending service providers, Roles, Licensing & registration, Declaration, Business

Type

Word document, Application form
29 June 2015

NZX Obligations Review 2015

The Financial Markets Conduct Act 2013 (FMC Act)
requires the FMA to carry out a review, at least annually,
of how well a licensed market operator is meeting the
market operator obligations contained in section 314 of
the FMC Act, and to publish a written report. This report was published in 2015.

Tags

Reports and Papers, Market operator, Roles, Monitoring, Business, News & Insights

Type

PDF
1 June 2014

Auditor regulation and oversight plan 2014 2017

Audits of FMC reporting entities’ financial statements are designed to increase investor confidence. One of the ways
we ensure these audits are done well is by reviewing audits at registered audit firms. This plan is for the 2014-2017 period

Tags

Regulation, Reports and Papers, Auditors, Roles, Business, News & Insights

Type

PDF
13 November 2019

Ease of doing business survey report 2019

The FMA commissioned Buzz Channel to conduct research among key stakeholders to understand the effectiveness of
interactions FMA has with stakeholders and satisfaction with
the service it provides.

Tags

Reports and Papers, FMA, News & Insights

Type

PDF, Research
18 June 2020

Auditor Regulation and Oversight Plan 2020 2023

This report summarises our plan relating to auditor oversight, as part of our obligation under section 52 of the Auditor Regulation Act 2011. The report is for the 2020-2023 period.

Tags

Auditors, Regulation, Roles, Business

Type

PDF, Report
13 November 2013

Consultation licensing DIMS providers

Consultation: Draft minimum standards and licence conditions for Discretionary Investment Management Service (DIMS) providers.

Tags

Discretionary investment management scheme (DIMS), Consultations, Roles, Business

Type

PDF
6 October 2021

Persons spreadsheet - Supporting document for Auditors

Persons spreadsheet - Supporting document for Auditors. Complete the relevant columns giving a list of all partners indicating those who are members of a professional body and those who hold practising certificate, the name and website address of the professional body and a link to, any publicly available online register of members published by the body.

Tags

Authorised body under a FAP, Roles, Business

Type

Spreadsheet, Submission form
17 July 2019

www.fuerfx.com

We are concerned that www.fuerfx.com may be operating a scam. The website www.fuerfx.com is not associated with nor authorised by the New Zealand registered company Fern Group NZ Limited.

Tags

Suspected scam, Scams

Type

Page
19 August 2019

Kernel Wealth Limited

Kernel Wealth Limited, FSP644609, is a licensed managed investment scheme(MIS) manager.

Tags

Managed investment schemes, Licensed entity, Roles, Business

Type

Page
14 November 2017

Consultation FMA Corporate Governance handbook

This consultation is for the directors, executives and advisers of non-listed and public-sector companies and other
entities. We seek feedback about whether our revised
handbook helps directors, executives and advisers to think about how to apply corporate governance principles.

Tags

Governance, Directors, Consultations, Roles, Business, FMA

Type

PDF
27 June 2019

NZX Obligations Review 2018

Under the FMC Act, we are required to review at least annually how well a licensed market operator is meeting its obligations, and to publish a written report. Broadly, these relate to the areas of operation that are regulatory in nature. Publishing the report provides transparency into our oversight of NZX. This report was published in 2018.

Tags

Market operator, Reports and Papers, Roles, Business, News & Insights

Type

PDF
29 June 2012

NZX Obligations Review 2012

Under the FMC Act, we are required to review at least annually how well a licensed market operator is meeting its obligations, and to publish a written report. Broadly, these relate to the areas of operation that are regulatory in nature. Publishing the report provides transparency into our oversight of NZX. This report was published in 2012.

Tags

Market operator, Roles, Reports and Papers, Business, News & Insights

Type

PDF
30 May 2015

CMB Information Sheet for May 2015

Offers of contributory mortgages made by contributory mortgage brokers who are not lawyers are regulated under the Securities Act (Contributory Mortgage) Regulations 1988 (Regulations). The Regulations exempt brokers from certain disclosure and governance requirements, under the Securities Act 1978.

Tags

FMC Act, Governance, Legislation, Business, FMA

Type

PDF, Information Sheet
1 June 2012

Auditor regulation and oversight plan 2012 2015

Audits of FMC reporting entities’ financial statements are designed to increase investor confidence. One of the ways
we ensure these audits are done well is by reviewing audits at registered audit firms. This plan is for the 2012-2015 period

Tags

Regulation, Reports and Papers, Auditors, Roles, Business, News & Insights

Type

PDF
4 April 2017

Point of retirement research 2017

In December 2016 FMA commissioned Colmar Brunton to carry out research among people who are nearing retirement age, or who have recently retired. This research is designed to help FMA learn more about the financial decisions that people make when they retire.

Tags

Reports and Papers, Investor capability, FMA, News & Insights

Type

PDF