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Found 6349 results. Displaying page 372 of 424

  2. 12 November 2020

    Cases Investigated - OIA request

    OIA response, dated 12 November 2020, questions asked around the policies, documents, communications and number of cases / prosecutions the FMA has assessed between 1 July 2017 - 12 November 2020
    Tags
    FMA
    Type
    PDF, OIA

  3. 20 August 2022

    FMA organisation chart - OIA request

    OIAP response dated 20 August 2021, FMA organisation charts - Request for the FMA’s current organisation chart
    Tags
    Type
    PDF, OIA

  5. 1 August 2013

    AML/CFT acting on behalf of a customer fact sheet

    AML/CFT acting on behalf of a customer fact sheet. A person acting on behalf of a customer is subject to the same identification requirements as the customer.
    The fact sheet should be read in conjunction with the beneficial ownership guideline.
    Tags
    AML/CFT, Roles, Business
    Type
    Page, Fact sheet, Guidance

  6. 11 October 2017

    Bank Bill Benchmark Rate and closing rates guidance note

    Bank Bill Benchmark Rate and closing rates guidance note clarifies the FMA’s expectations about the trading conduct and controls for firms participating in the trading that sets BKBM and closing rates in the New Zealand market.
    Tags
    Roles, Business, Market operator
    Type
    Page, Guidance

  7. 11 October 2017

    Bank Bill Benchmark Rate and closing rates resource sheet

    Bank Bill Benchmark Rate and closing rates resource sheet explains how BKBM and closing rates operate and are regulated in New Zealand. It is aimed at local bank staff involved in trading activity or oversight of trading activity.
    Tags
    Offer information, Roles, Business, Market operator
    Type
    Page, Guidance

  8. 1 December 2014

    Debt offers: continuous information sheet

    The Debt offers: continuous information sheet provides an overview of the transition to the FMA Act for a Debt offers – continuous. It outlines a working example of the key activities and indicative timings for each step of the transition.
    Tags
    FMC Act, Legislation, Business
    Type
    Page, Guidance

  9. 1 December 2014

    Debt offers: one off information sheet

    Debt Offers: one off, information Sheet Debt offers one-off outlines the transition of Debt offers one-off (Excluding banks and non-bank deposit takers) to FMC Act. It outlines a working example of the key activities and indicative timings for each step of the transition.
    Tags
    Offer information, FMC Act, Legislation, Business
    Type
    Page, Guidance

  10. 1 August 2014

    Creation of new unit trusts during transition period

    Creation of new unit trusts during transition period information sheet responds to queries by market participants about the ability to create new unit trust schemes under the Unit Trusts Act 1960 between 1 December 2014 and 30 November 2015.
    Tags
    FMC Act, Legislation, Business
    Type
    Page, Guidance

  11. 2 August 2016

    Crowdfunding services for property investments – meeting the eligibility criteria

    Crowdfunding services for property investments – meeting the eligibility criteria, information sheet is designed to help crowdfunding services offering property investment (‘property crowdfunding’) meet the eligibility criteria for a licensed crowdfunding service in New Zealand.
    Tags
    Crowdfunding providers, Roles, Business
    Type
    Page, Guidance

  12. 24 May 2017

    Licensing overview report 2017

    This report aims to Outline how we applied a flexible approach to applications and explain how the minimum standards and FMC Act eligibility criteria fit together, plus more.
    Tags
    Licensing & registration, Reports and Papers, Business, News & Insights
    Type
    Page, Report

  13. 29 September 2023

    Feedback form Liquidity risk management

    Feedback form of Liquidity risk management draft guidance.
    Tags
    Consultations, Roles, Supervisors, Business, Managed investment schemes
    Type
    Word document

  15. 30 September 2023

    Feedback form FMA scheme winding up guidance

    Consultation feedback form: FMA scheme winding up guidance.
    Tags
    Consultations, Managed Investment Schemes, Roles, Business, Managed investment schemes
    Type
    Word document, Consultation