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Found 1596 results. Displaying page 54 of 107

10 May 2023

Exemption notice - Sharesies Investment Management Limited

The Notice exempts Sharesies Investment Management Limited (Sharesies) as manager of the Sharesies KiwiSaver Scheme (Scheme), and the self-select fund in the Scheme (self-select fund) from certain provisions of the Financial Markets Conduct Act 2013.

Tags

FMC Act, Legislation, Business

Type

PDF, Exemption notice
14 June 2022

Cigna and OnePath Life - Enforceable Undertaking

OnePath Life (NZ) Limited and Cigna Life Insurance New Zealand Limited will jointly pay $180,000 to the FMA after admitting liability for breaching the fair dealing provisions of the Financial Markets Conduct Act 2013 (FMCA). 14 June 2022

Tags

Enforceable Undertaking, Enforcement

Type

PDF
12 February 2021

ANZ Bank New Zealand Limited - High Court Judgment

On 4 June 2020 the Financial Markets Authority (“FMA”) filed civil proceedings against ANZ Bank New Zealand Limited (“ANZ”) alleging various breaches of the Financial Markets Conduct Act 2013 (“the Act”). This is the High Court Judgment.

Tags

Court decision, Enforcement

Type

PDF
20 October 2022

Provincia Property Fund Limited - Formal Warning

The FMA issued a formal warning to Provincia Property Fund 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 it relied on the wholesale investor exclusion in circumstances where they were not entitled to.

Tags

Offer disclosure for equity and debt offers, Roles, Business, Enforcement

Type

PDF
20 October 2022

Williams Corporation Capital Partnership GP Limited - Formal Warning

The FMA issued a formal warning to Williams Corporation Capital Partnership GP Limited following concerns that it may have failed to give disclosures to investors as required by Part 3 of the Financial Markets Conduct Act 2013 because it relied on the wholesale investor exclusion in circumstances where they were not entitled to.

Tags

Offer disclosure for equity and debt offers, Roles, Business, Enforcement

Type

PDF
20 October 2022

E+O Property Syndication Limited - Formal Warning

The FMA issued a formal warning to E+O Property Syndication Limited following concerns that it may have failed to give disclosures to investors as required by Part 3 of the Financial Markets Conduct Act 2013 because it relied on the wholesale investor exclusion in circumstances where they were not entitled to.

Tags

Offer disclosure for equity and debt offers, Roles, Business, Enforcement

Type

PDF
20 October 2022

Wolfbrook Capital Limited - Formal Warning

The FMA issued a formal warning to Wolfbrook Capital 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 it relied on the wholesale investor exclusion in circumstances where they were not entitled to.

Tags

Offer disclosure for equity and debt offers, Roles, Business, Enforcement

Type

PDF
20 October 2022

Jasper NZ Investments Limited - Formal Warning

The FMA issued a formal warning to Jasper NZ Investments Limited following concerns that it may have failed to give disclosures to investors as required by Part 3 of the Financial Markets Conduct Act 2013 because it relied on the wholesale investor exclusion in circumstances where they were not entitled to.

Tags

Offer disclosure for equity and debt offers, Roles, Business, Enforcement

Type

PDF
18 June 2014

Licensing guide - small DIMS businesses

This guide supplements our main licensing application guide. It outlines how a small business providing lower risk Discretionary Investment Management Services (DIMS) can approach an
application for a DIMS licence under the Financial Markets Conduct Act 2013 (FMC Act).

Tags

Discretionary investment management scheme (DIMS), Licence guide, Roles, Licensing & registration, Business

Type

PDF
23 May 2017

Licensing guide - FMC Act

To offer certain financial products and services in New Zealand, you need to be licensed. Being licensed shows your customers you meet the legal eligibility criteria and levels of compliance in the Financial Markets Conduct Act (FMC Act). This guide provides you with an understanding of your obligations under the Act when applying for a licence with the FMA.

Tags

FMC Act, Legislation, Licensing & registration, Business

Type

PDF
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
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
30 August 2014

Guidance - One off Issuers

This information sheet clarifies when one-off or occasional issuers must register on the Financial Service Providers Register (FSPR) under the Financial Service Providers (Registration and Dispute Resolution) Act 2008 (in addition to any disclosure obligations that they may have under the Financial Markets Conduct Act 2013).

Tags

FSPR, Business

Type

PDF, Information Sheet
4 October 2023

Guidance for keeping proper climate related disclosure records

This guidance note is for entities that have climate-related
disclosure obligations under Part 7A of the Financial Markets
Conduct Act 2013. It is intended to help climate reporting
entities (CREs) meet their statutory requirement to keep
proper climate-related disclosure records at all times.

Tags

Climate related disclosure, Climate Reporting Entities, Roles, Business, Managed investment schemes, Supervisor

Type

PDF, Guidance
30 September 2023

Consultation paper proposed guidance on scheme wind ups

FMA is considering guidance for Supervisors and (where there is no Supervisor) Managers of registered schemes on the requirements in section 212 (Initial steps in winding up of registered scheme) and section 213 (Winding-up report) of the Financial Markets Conduct Act 2013 (FMC Act).

Tags

Consultations, Managed Investment Schemes, Roles, Business, Managed investment schemes

Type

PDF, Consultation