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Found 1597 results. Displaying page 54 of 107

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
19 March 2024

Licensing application guide - Crowd funding PART B1

Your guide to applying for a 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

Tags

Crowdfunding providers, Roles, Licence guide, Licensing & registration, Business

Type

PDF
8 April 2024

Standard conditions for MIS

If the FMA grants you a licence to act as a manager of a non-restricted and registered managed investment
scheme (MIS manager licence), the licence will be subject to conditions set out in section 402 of the
Financial Markets Conduct Act 2013 (FMC Act).

Tags

Standard conditions, Roles, Licensing & registration, Business, Managed investment schemes, Supervisor

Type

PDF
29 April 2024

AML/CFT Enhanced Customer Due Diligence Guideline

This guideline assists you to conduct enhanced customer due diligence (enhanced CDD) on your customers under the Anti-Money Laundering and Countering Financing of Terrorism (AML/CFT) Act 2009 (the Act). Published October 2022.

Tags

AML/CFT, Roles, Compliance, Obligations, Authorised body under a FAP, Client money or property services provider, Crowdfunding providers, Derivative Issuer, Discretionary investment management scheme (DIMS), Business, Managed investment schemes, Peer-to-peer lending service providers, Supervisor

Type

PDF, Guidance
10 May 2024

AML/CFT Customer Due Diligence – Trusts

This guideline is intended to support reporting entities1
to conduct customer due diligence (CDD) under the Anti-Money Laundering and Countering Financing of Terrorism (AML/CFT) Act 2009 (the Act) on their customers who are trusts.

Tags

AML/CFT, Compliance, Obligations, Roles, Business

Type

PDF, Information Sheet