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  1. 13 December 2019

    MIS custody arrangements thematic review 2019

    For any managed investment scheme it’s important that scheme property – money and investments – is kept safe. The function of looking after scheme property is called custody. Under the Financial Markets Conduct Act 2013 (FMC Act), custody for retail managed investment schemes is the responsibility of the independent licensed supervisor. This separates custody functions from management of the scheme, and provides an additional layer of protection for investors.
    Tags
    Reports and Papers, Derivative Issuer, Roles, Business, Managed investment schemes, News & Insights, Supervisor
    Type
    PDF, Report

  2. 18 October 2021

    Exemption Notice - Christchurch City Holdings Limited Sustainable Bond Offer

    The notice exempts Christchurch City Holdings Limited (CCHL), subject to conditions, from the disclosure, governance, and financial reporting requirements in Parts 3, 4 and 7 of the Financial Markets Conduct Act 2013 (the Act) in relation to offers of ‘sustainable’, ‘sustainability’, ‘green’ ‘social’, or similar bonds (Sustainable Bonds) issued under CCHL’s sustainability framework (Sustainability Framework).
    Tags
    Type
    PDF, Exemption notice

  3. 20 October 2022

    Black Robin Equity Limited and Westwood Terraces BRE Limited - Formal Warning

    The FMA has issued a formal warning to Black Robin Equity Limited and Westwood Terraces BRE Limited following concerns that they may have failed to give disclosures to investors as required by Part 3 of the Financial Markets Conduct Act 2013 because they relied on the wholesale investor exclusion in circumstances where they were not entitled to. This is because some eligible investor certificates were incomplete.
    Tags
    Offer disclosure for equity and debt offers, Roles, Business, Enforcement
    Type
    PDF

  4. 19 March 2024

    Licensing application guide - DIMS Provider PART B4

    Your guide to applying for a DIMS market service licence under the Financial Markets Conduct Act.
    All the questions you’ll be asked, the minimum standards you’ll need to show you meet, and information about the details and supporting documents you’ll need to provide.
    Please make sure you read this guide in conjunction with our ‘Part A’ licensing guide.
    Tags
    Discretionary investment management scheme (DIMS), Licence guide, Roles, Licensing & registration, Business
    Type
    PDF

  5. 19 March 2024

    Licensing application guide - Independent trustee PART B6

    Your guide to applying for a Independent Trustees licence under the Financial Markets Conduct Act.
    All the questions you’ll be asked, the minimum standards you’ll need to show you meet, and information about the details and supporting documents you’ll need to provide.
    Please make sure you read this guide in conjunction with our ‘Part A’ licensing guide.
    Tags
    Independent trustee, Roles, Licence guide, Licensing & registration, Business
    Type
    PDF

  6. 19 March 2024

    Licensing application guide - Peer to peer licensing guide PART B2

    Your guide to applying for a Peer to Peer licence under the Financial Markets Conduct Act.
    All the questions you’ll be asked, the minimum standards you’ll need to show you meet, and information about the details and supporting documents you’ll need to provide.
    Please make sure you read this guide in conjunction with our ‘Part A’ licensing guide.
    Tags
    Licence guide, Roles, Licensing & registration, Business, Peer-to-peer lending service providers
    Type
    PDF

  7. 19 March 2024

    Licensing application guide - Managed Investment Schemes (MIS) PART B3

    Your guide to applying for a Managed Investment Scheme (MIS) licence under the Financial Markets Conduct Act.
    All the questions you’ll be asked, the minimum standards you’ll need to show you meet, and information about the details and supporting documents you’ll need to provide.
    Please make sure you read this guide in conjunction with our ‘Part A’ licensing guide.
    Tags
    Licence guide, Roles, Licensing & registration, Business, Managed investment schemes
    Type
    PDF

  8. 24 October 2013

    KiwiSaver assets jump 30 percent to top $16.5b

    The Financial Markets Authority (FMA) says assets invested in KiwiSaver have passed $16.5 billion, up nearly $4 billion, or 30 percent, on last year.
    Tags
    Media release, News & Insights
    Type
    Page

  9. 19 January 2012

    FMA and SFO sign Memorandum of Understanding

    The Financial Markets Authority (FMA) and the Serious Fraud Office (SFO) have signed a Memorandum of Understanding (MOU) which will enhance their already close working relationship and drive greater efficiencies between the two agencies.
    Tags
    Media release, FMA, News & Insights
    Type
    Page

  10. 9 August 2011

    FMA announces appointment and reappointments to Code Committee

    The Board of the Financial Markets Authority has appointed Dimity Kingsford-Smith, a Professor of Law at the University of New South Wales, to the Code Committee for Authorised Financial Advisers for a term of three years.
    Tags
    Media release, News & Insights
    Type
    Page

  13. 23 August 2021

    FMA issues warning to Sharesies for AML/CFT breaches

    The Financial Markets Authority (FMA) - Te Mana Tātai Hokohoko – has issued a formal warning to Sharesies Limited and Sharesies Nominee Limited for failing to have sufficient anti-money laundering procedures, policies, and controls in place.
    Tags
    AML/CFT, Roles, Media release, Enforceable action, Business, News & Insights, Enforcement
    Type
    Page

  14. 12 April 2013

    FMA completes review of Mighty River Power offer document

    The Financial Markets Authority has completed its review of the Mighty River Power share offer document and is satisfied that it contains the information potential investors need to make an informed decision.
    Tags
    Media release, News & Insights
    Type
    Page

  15. 6 November 2020

    FMA releases standard conditions for licensing of financial advice

    The Financial Markets Authority (FMA) has released the final standard conditions for a full Financial Advice Provider licence and confirmed three classes of financial advice service, following an extensive consultation with the industry.
    Tags
    Compliance, New Financial Advice regime, Regulation, Media release, Business, News & Insights
    Type
    Page