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Found 2480 results. Displaying page 152 of 166

  1. 19 February 2015

    FMA DIMS seminar presentation

    The Christchurch DIMS Seminar powerpoint provides information about: What is a DIMS; when is it DIMS; when it's not DIMS; an example of DIMS; types of DIMS; contingency DIMS requirements, client agreements, investment authorities, what AFAs should do; DIMS that aren't Contingency DIMS; what is considered personalised or Class?,; decisions for AFAs currently authorised for DIMS; licensing action; tips and fees.
    Tags
    Discretionary investment management scheme (DIMS), Roles, Business
    Type
    Page, Guidance

  3. 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

  4. 30 January 2015

    Harbour Asset Management Limited

    Harbour Asset Management Limited, FSP3241, is a licensed Managed Investment Scheme Manager.
    Tags
    Managed investment schemes, Licensed entity, Roles, Business
    Type
    Page

  7. 22 January 2015

    Convera Australia Pty Ltd.

    Convera Australia Pty Ltd. (previously Western Union Business Solutions (Australia) Pty Ltd) is a licensed derivatives issuer. Their license number is FSP168204
    Tags
    Derivative Issuer, Licensed entity, Roles, Reporting entities, Business
    Type
    Page

  9. 15 January 2015

    Institute of Directors - Directors guide

    This guide from the IoD outlines some of the essential behaviours directors should demonstrate to meet legal, regulatory and ethical standards, and tells you where you can go to find out more.
    Tags
    Directors, Roles, Business
    Type
    PDF

  12. 19 December 2014

    Consultation: Corporate Governance in New Zealand – Principles and Guidelines

    Consultation: Corporate Governance in New Zealand – Principles and Guidelines handbook is intended as a reference guide for directors, executives and advisers, to help them decide how best to apply the nine key corporate governance principles.
    Tags
    Directors, Roles, Consultations, Business
    Type
    Page, Consultation

  13. 19 December 2014

    Consultation: Corporate Governance in New Zealand – Principles and Guidelines

    Consultation: Corporate Governance in New Zealand – Principles and Guidelines handbook is intended as a reference guide for directors, executives and advisers, to help them decide how best to apply the nine key corporate governance principles.
    Tags
    Directors, Roles, Consultations, Business
    Type
    Page, Consultation

  14. 19 December 2014

    Consultation Personalised DIMS response to submissions

    The table in this paper summarises the submissions made on our Consultation paper: Personalised DIMS under the Financial Advisers Act 2008 (“the Act”)
    released on 19 November 2014.
    Five written submissions were received. The FMA has considered all submissions and our response to the main issues is set out in the table below.
    Tags
    Discretionary investment management scheme (DIMS), Consultations, Roles, Business
    Type
    PDF

  15. 19 December 2014

    Response to submissions Consultation paper Personalised DIMS.1

    The table in this paper summarises the submissions made on our Consultation paper: Personalised DIMS under the Financial Advisers Act 2008 (“the Act”)
    released on 19 November 2014.
    Five written submissions were received. The FMA has considered all submissions and our response to the main issues is set out in the table below.
    Tags
    Discretionary investment management scheme (DIMS), Consultations, Roles, Business
    Type
    PDF