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Found 1597 results. Displaying page 46 of 107

23 August 2019

Standard conditions for independent trustee individuals

If the FMA grants you an independent trustee licence (as an individual), the licence will be subject to conditions as set out in section 402 of the Financial Markets Conduct Act 2013 (FMC Act).

Tags

Independent trustee, Roles, Standard conditions, Licensing & registration, Business

Type

PDF
1 August 2014

Fair dealing provisions transitional arrangements for advertising information sheet

The fair dealing provisions relating to “financial products” and “financial services” make it an offence to engage in misleading or deceptive conduct in relation to financial products or to make false, misleading or unsubstantiated representations about financial products.

Tags

Fair dealing, Derivative Issuer, Offer disclosure for equity and debt offers, Roles, Business

Type

PDF, Information Sheet
23 April 2015

DIMS limit breaks under the FMC Act

This information sheet outlines the obligations of Discretionary Investment Management Services (DIMS) providers under the Financial Markets Conduct Act 2013 (FMC Act) relating to investment authority limits and reporting breaches of those limits.

Tags

Discretionary investment management scheme (DIMS), Roles, Business

Type

PDF, Information Sheet
30 October 2014

Reporting duties under Part 4 of the FMC Act

This information sheet outlines the new reporting duties under the Financial Markets Conduct Act 2013 (FMC Act) for debt issuers, managers of managed investment schemes, supervisors, auditors, investment managers, administration managers, custodians and actuaries.

Tags

Client money or property services provider, Roles, Auditors, Offer disclosure for equity and debt offers, Business, Managed investment schemes, Supervisor

Type

PDF, Information Sheet
1 October 2014

Reporting duties under Part 4 of the FMC Act Information Sheet and Table

This information sheet outlines the new reporting duties under the Financial Markets Conduct Act 2013 (FMC Act) for debt issuers, managers of managed investment schemes, supervisors, auditors, investment managers, administration managers, custodians and actuaries.

Tags

Auditors, Roles, Offer disclosure for equity and debt offers, Business, Managed investment schemes, Supervisor

Type

PDF, Information Sheet
30 November 2014

Financial regulation and registration requirements for marinas information sheet

The Financial Markets Conduct Act 2013 (FMC Act) changes the way interests in marinas are regulated. Marinas will generally not be regulated under the FMC Act and will no longer need to register on the Financial Service Providers Register. Published November 2014.

Tags

Roles, Offer information, Business, Supervisor

Type

PDF, Information Sheet, Guidance
24 January 2023

Ease of Doing Business Survery 2022

The FMA commissioned FiftyFive5 to conduct research among key stakeholders to understand the effectiveness of their interactions with the FMA and satisfaction with the services provided. This is the seventh year (2022) this stakeholder research has been conducted.

Tags

Reports and Papers, News & Insights

Type

PDF, Surveys
10 October 2017

The Bank Bill Benchmark Rate and closing rates guidance note

This guidance 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. October 2017.

Tags

Roles, Business, Market operator

Type

PDF, Guidance
2 February 2023

Reasonable grounds for financial advice about financial products - guidance

Guidance on the FMA’s approach to applying and enforcing Code Standard 3 of the Code of Professional Conduct for Financial Advice Services, in relation to financial advice about financial products purchased for investment purposes.

Tags

Financial Advice Provider, Financial Adviser, Roles, Business, Nominated representatives

Type

PDF
16 May 2018

Conflicted remuneration (soft commissions) in the life and health insurance industry

This review examines the soft commission structures in place for life and health insurance products and how advisers respond to these incentives. This work forms part of a range of regulatory activities examining conflicted conduct in the insurance sector.

Tags

Financial Advice Provider, Conduct, Roles, Business

Type

PDF, Report
20 May 2019

Audit Quality Perceptions - research summary 2019

The FMA commissioned Buzz Channel to conduct research to help understand how users of audit services in New Zealand perceive auditors’ contribution to fair, efficient and transparent NZ financial markets.

Tags

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

Type

PDF, Research
12 April 2023

Wei (Walker) Zhong and Lei (Regina) Ding - Judgment

High Court Judgment: Wei (Walker) Zhong and Lei (Regina) Ding have been found to have contravened the Financial Markets Conduct Act 2013 in relation to the trading of Oceania Natural Limited (ONL) shares.

Tags

Judgment, Enforcement

Type

PDF
29 August 2022

Kalkine New Zealand Limited - Direction Order

FMA directs Kalkine New Zealand Limited to stop making outgoing sales calls to people in New Zealand following concerns about the entity’s misleading marketing conduct. 10 August 2022.

Tags

Financial Adviser, Investigations, Roles, Business, Consumer, Enforcement

Type

PDF
31 August 2022

Wisdom House and Yuen Pok (Paul) Loo - Stop Order

The permanent stop order that applies to Wisdom House Investment Partners Limited and Yuen Pok (Paul) Loo, after they engaged in misleading and dishonest conduct, that the FMA ordered on 31 August 2022.

Tags

Enforceable action, Enforcement

Type

PDF
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