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  1. 20 June 2016

    Trust Investments Management Limited

    Trust Investments Management Limited, FSP47401, is a licensed Managed Investment Scheme Manager.
    Tags
    Managed investment schemes, Licensed entity, Roles, Business
    Type
    Page

  2. 15 June 2016

    Richard Francis Niven

    Richard Francis Niven, FSP487626, is a licensed Independent Trustee.
    Tags
    Independent trustee, Licensed entity, Roles, Business
    Type
    Page

  3. 13 June 2016

    Whai Rawa Fund Limited

    Whai Rawa Fund Limited, FSP34563, is a licensed Managed Investment Scheme Manager.
    Tags
    Managed investment schemes, Licensed entity, Roles, Business
    Type
    Page

  4. 13 June 2016

    FMA releases Auditor regulation and oversight plan

    The FMA has released its auditor regulation and oversight plan for 2016. The FMA’s plan sets out the new style of audit report issued by the External Reporting Board, intended to provide better information to investors.
    Tags
    Auditors, Media release, Roles, Business, News & Insights
    Type
    Page

  5. 8 June 2016

    PledgeMe Limited

    PledgeMe Limited, FSP359926, is licensed to provide peer-to-peer lending service.
    Tags
    Peer-to-peer lending service providers, Roles, Business
    Type
    Page

  6. 2 June 2016

    Eligibility criteria - Crowdfunding services for property investments

    This information sheet is designed to help crowdfunding services offering property investment (‘property crowdfunding’) meet the eligibility criteria for a licensed crowdfunding
    service in New Zealand.
    Tags
    Crowdfunding providers, Roles, Licence guide, Licensing & registration, Business
    Type
    PDF, Information Sheet

  7. 1 June 2016

    Conrad Funds Management Limited

    Conrad Funds Management Limited, FSP441126, is a licensed Managed Investment Scheme Manager.
    Tags
    Managed investment schemes, Licensed entity, Roles, Business
    Type
    Page

  8. 1 June 2016

    Auditor regulation and oversight plan 2016 2019

    Audits of FMC reporting entities’ financial statements are designed to increase investor confidence. One of the ways
    we ensure these audits are done well is by reviewing audits at registered audit firms. This plan is for the 2016-2019 period.
    Tags
    Regulation, Reports and Papers, Auditors, Roles, Business, News & Insights
    Type
    PDF

  9. 1 June 2016

    Factors influencing insurance policy survival

    In our study of what factors influence policy survival, we used the Cox proportional hazard model to identify
    key factors. We found that commission structure was consistently the most significant factor influencing policy
    survival rates and, within the commission structure, clawback was a major factor.
    Tags
    Financial Adviser, Reports and Papers, Roles, Financial Advice Provider, Business, FMA, News & Insights
    Type
    PDF

  10. 31 May 2016

    Forsyth Barr Investment Management Limited

    Forsyth Barr Investment Management Limited, FSP25021, is a licensed Managed Investment Scheme Manager.
    Tags
    Managed investment schemes, Licensed entity, Roles, Business
    Type
    Page

  11. 26 May 2016

    Fee Disclosure For Managed Funds guidance

    This guidance helps managers and supervisors understand how fees should be disclosed in Product Disclosure Statements, fund updates and, in respect of KiwiSaver schemes, confirmation information. It includes guidance on the classification and disclosure of performance-based fees, management and
    administration charges, underlying fund charges, and how to use third-party information.
    Tags
    KiwiSaver providers, Roles, Business, Managed investment schemes
    Type
    PDF, Guidance

  12. 26 May 2016

    Response to consultation submissions on fee disclosure by managed funds

    We have provided guidance to help managers and supervisors understand the new disclosure obligations, and the various categories of fees and charges they must disclose.
    Tags
    Consultations, Roles, Business, Managed investment schemes, Supervisor
    Type
    PDF, Guidance, Information Sheet

  14. 19 May 2016

    Licensing guide for MIS managers of forestry schemes

    Licensing guide for MIS managers of forestry schemes 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
    Roles, Business, Managed investment schemes, Supervisor
    Type
    Page, Guidance

  15. 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