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  1. 1 June 2014

    Declaration by current proposed director of licence applicant

    Declaration to be completed by current or proposed directors of a licence applicant for market services licences under the FMC Act 2013.
    Tags
    Directors, Roles, Declaration, Licensing & registration, Business
    Type
    Word document, Application form

  4. 1 June 2014

    FMA’s supervision of Anti-Money Laundering and Countering Financing of Terrorism

    This 2014 document outlines the Financial Markets Authority’s (FMA’s) priorities for monitoring reporting entities
    under the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (AML/CFT Act).
    Tags
    AML/CFT, Reports and Papers, Roles, Reporting entities, Business, News & Insights
    Type
    PDF

  6. 30 May 2014

    new governance and accountability framework for mis managers and their licensed supervisors 2014

    The FMC Act introduces an accountability framework for managed investment schemes (MIS).
    The requirements include a statutory duty of care on both managers and supervisors of managed investment schemes. Both must also act in the best interests of investors. Managers and supervisors need to have a clear
    understanding of their respective roles and understand they will be held to account for their actions.
    Tags
    Governance, Managed investment schemes, Supervisor, Roles, Business, FMA
    Type
    PDF, Information Sheet

  11. 14 May 2014

    FMA seeks comments on proposed class exemption to apply to initial public offers

    Consultation paper: FMA seeks comments on proposed class exemption to apply to initial public offers. The Financial Markets Authority (FMA) is planning to consult on a proposed class exemption for firms making initial public offers (IPOs). Read more.
    Tags
    Offer information, Consultations, Exemptions, Business
    Type
    Page

  12. 14 May 2014

    FMA seeks comments on proposed class exemption to apply to initial public offers

    Consultation paper: FMA seeks comments on proposed class exemption to apply to initial public offers. The Financial Markets Authority (FMA) is planning to consult on a proposed class exemption for firms making initial public offers (IPOs). Read more.
    Tags
    Offer information, Consultations, Exemptions, Business
    Type
    Page