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Found 1596 results. Displaying page 60 of 107

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
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
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
20 October 2022

Du Val Capital Partners Limited and Du Val BTR GP Limited - Formal Warning

The FMA has issued a formal warning to Du Val Capital Partners Limited and Du Val BTR GP 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
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
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
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
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
7 September 2021

OIAP Insider trading misconduct statistics

OIAP response dated 7 September 2021, Insider trading misconduct statistics - A request for statistics relating to insider trading misconduct

Tags

Type

PDF, OIA
13 August 2015

Market misconduct risks: a guide for MIS managers

Market misconduct risks: a guide for MIS managers information sheet is to help Managed Investment Scheme (MIS) managers understand how to manage market misconduct risks in trading activity.

Tags

Roles, Business, Managed investment schemes, Supervisor

Type

Page, Guidance
13 August 2015

Guide to market misconduct risks for MIS managers

This information sheet is to help Managed Investment Scheme (MIS) managers understand how to manage market misconduct risks in trading activity.

Tags

Roles, Business, Managed investment schemes, Supervisor

Type

PDF, Information Sheet
7 June 2017

KiwiSaver annual statements methodology notice

This notice comes into force on 2017 and applies to accounting periods of KiwiSaver schemes that commence on or after the commencement date of this notice. The notice sets out a methodology which managers of KiwiSaver schemes must comply with when calculating the approximate total sum of the fees paid by each of their scheme participants. This information (which must be expressed as a dollar amount) must be included in the confirmation information that KiwiSaver providers are required to provide to each scheme participant each year pursuant to the Financial Markets Conduct Act 2013 (Act).

Tags

KiwiSaver providers, Roles, Business, Managed investment schemes

Type

PDF, Notice
11 April 2017

Consultation on KiwiSaver fees methodology

KiwiSaver members will be able to see the dollar cost of the fees they are paying in their annual statements next year. The Ministry of Business and Innovation and Employment (MBiE) is currently amending the Financial Markets Conduct Regulations so that individual members’ total fees must be disclosed in annual statements in dollar values, from March 2018.

Tags

KiwiSaver providers, Media release, Managed investment schemes, Roles, Business, News & Insights

Type

Page
25 July 2016

Consultation paper: Reviews of the Financial Markets Authority funding and the Financial Markets Authority levy

Consultation paper: Reviews of the Financial Markets Authority funding and the Financial Markets Authority levy. We are seeking views on the proposals to provide class exemptions which provide co-operative companies and industrial and provident societies a lighter path of compliance with the Financial Markets Conduct Act 2013 (FMC Act) when they offer their members shares of minimal value.

Tags

Consultations, Business, FMA

Type

Page
14 April 2015

Better information for investors as new disclosure documents take shape

Information for investors will now be provided in a format that is easier-to-understand and more accessible than before. The way that financial products are made available to the public has been overhauled under the FMC Act. The first New Zealand financial products to be offered under the new regulations have started to appear on the ‘Disclose’ website this month.

Tags

Media release, Consumer, News & Insights

Type

Page