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Found 1596 results. Displaying page 58 of 107

  1. 1 September 2014

    Governance under part 4 of the FMC Act

    Governance under part 4 of the FMC Act guidance note is for issuers of debt securities, managers of managed investment schemes and their supervisors. It gives guidance on the expectations FMA has for your approach to the governance responsibilities and accountabilities that apply under Part 4 of the Financial Markets Conduct Act 2013.
    Tags
    Offer disclosure for equity and debt offers, Roles, Business, Managed investment schemes, Supervisor
    Type
    Page, Guidance

  2. 1 November 2014

    Financial regulation and registration requirements for marinas

    Financial regulation and registration requirements for marinas information sheet provides information on how 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.
    Tags
    Regulation updates, Business
    Type
    Page, Guidance

  3. 1 June 2023

    FMA files proceedings against Medical Assurance Society over fair dealing provision breaches

    FMA has filed High Court proceedings against Medical Assurance Society New Zealand Limited (MAS) and its subsidiaries for fair dealing breaches under section 22 of the Financial Markets Conduct Act 2013 (FMC Act).
    Tags
    Fair dealing, Media release, Cases, Enforceable undertaking, Powers, Insurance Providers, Business, News & Insights, Enforcement
    Type
    Page

  4. 28 October 2010

    Adviser Regulation Ready To 'Go-Live' On 1 December

    The Commissioner for Financial Advisers has taken the last formal step required for the introduction of the new financial advisers regulatory regime, with publication in the Gazette that 1st December 2010 will be the date on which the Code of Professional Conduct for Authorised Financial Advisers (AFAs) comes into effect.
    Tags
    Media release, News & Insights
    Type
    Page

  5. 21 October 2010

    Review Highlights Need for Better Valuation Disclosure (Oct-2010)

    The Commissioner for Financial Advisers has taken the last formal step required for the introduction of the new financial advisers regulatory regime, with publication in the Gazette that 1 December 2010 will be the date on which the Code of Professional Conduct for Authorised Financial Advisers (AFAs) comes into effect.
    Tags
    Media release, News & Insights
    Type
    Page

  6. 10 December 2020

    Providing overseas firms’ research reports to retail clients

    Research reports produced by overseas firms may be distributed by New Zealand advice firms to their retail clients. This information sheet discusses how this will be regulated under the Financial Markets Conduct Act 2013 (FMC Act) from 15 March 2021.
    Tags
    Financial Advice Provider, Roles, Business
    Type
    Page, Guidance

  7. 1 February 2015

    Reporting SIPO limit breaks

    Reporting SIPO limit breaks information sheet outlines the reporting obligations of a Managed Investment Scheme (MIS) manager if there has been a limit break under its Statement of Investment Policy and Objectives (SIPO) under Part 4 of the Financial Markets Conduct Act 2013 (FMC Act).
    Tags
    Roles, Business, Managed investment schemes, Supervisor
    Type
    Page, Guidance

  8. 18 June 2014

    Quick guide to licence applications for small businesses providing DIMS

    Quick guide to licence applications for small businesses providing DIMS 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), Licensing & registration, Roles, Business
    Type
    Page, Guidance

  9. 1 October 2014

    Reporting duties under Part 4 of the FMC Act

    Reporting duties under Part 4 of the FMC Act 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, Offer disclosure for equity and debt offers, Roles, Business, Managed investment schemes, Supervisor
    Type
    Page, Financial reporting, Guidance

  10. 1 May 2014

    New governance and accountability framework for restricted schemes and their trustees

    The Financial Markets Conduct (FMC) Act 2013 changes the governance and accountability framework for financial products. Find out what these changes mean for restricted schemes and their trustees in the New governance and accountability framework for restricted schemes and their trustees information sheet.
    Tags
    Independent trustee, Roles, Offer information, Offers of financial products, Business
    Type
    Page, Guidance

  11. 1 May 2014

    New governance and accountability framework for debt issuers and their licensed supervisors

    The Financial Markets Conduct (FMC) Act 2013 changes the governance and accountability framework for financial products. Find out what these changes mean for debt issuers and their licensed supervisors in the New governance and accountability framework for debt issuers and their licensed supervisors information sheet.
    Tags
    Offer disclosure for equity and debt offers, Supervisors, Roles, Business
    Type
    Page, Guidance

  12. 1 April 2015

    DIMS limit breaks under the FMC Act information sheet

    DIMS limit breaks under the FMC Act 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
    Compliance, Discretionary investment management scheme (DIMS), Roles, Business
    Type
    Page, Guidance

  13. 11 October 2023

    Kiwibank

    The FMA filed High Court civil proceedings against Kiwibank for making false and/or misleading representations, under the fair dealing provisions of the Financial Markets Conduct Act (FMC Act). Read the case timeline on this page.
    Tags
    Cases, Court – civil, Powers, Enforcement
    Type
    Page

  14. 29 April 2024

    AML/CFT enhanced customer due diligence guideline

    The AML/CFT enhanced customer due diligence guideline assists you to conduct enhanced customer due diligence (EDD) on your customers under the Anti-Money Laundering and Countering Financing of Terrorism (AML/CFT) Act 2009 (the Act).
    Tags
    AML/CFT, Directors, Crowdfunding providers, Cryptocurrencies, Roles, Business, News & Insights
    Type
    Page, Guidance

  15. 28 May 2024

    Matthew Hill to pay $100,000 penalty for breaching financial markets legislation

    The High Court has imposed a pecuniary penalty of $100,000 against Matthew Geoffrey Hill, the former Chief Executive Officer of NZX-listed New Talisman Gold Mines Limited, for making false and misleading representations in breach of the Financial Markets Conduct Act 2013 (FMC Act).
    Tags
    Media release, Investing, Business, Consumer, News & Insights, Enforcement
    Type
    Page