Back

Search results

Found 2480 results. Displaying page 4 of 166

  1. 29 April 2024

    Beneficial ownership guideline

    This guideline is to assist reporting entities in meeting the requirement to perform customer due diligence on the customer and beneficial owners of the customer under sections 11-26 of the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (‘the Act’).
    Tags
    Roles, Reporting entities, Authorised body under a FAP, Client money or property services provider, Crowdfunding providers, Derivative Issuer, Discretionary investment management scheme (DIMS), Business, Managed investment schemes, Peer-to-peer lending service providers, Supervisor
    Type
    PDF, Guidance

  2. 29 April 2024

    AMLCFT Limited Partnerships CDD Guideline April 2024

    AMLCFT Limited Partnerships CDD Guideline April 2024
    Tags
    AML/CFT, Roles, Compliance, Authorised body under a FAP, Crowdfunding providers, Derivative Issuer, Discretionary investment management scheme (DIMS), Business, Managed investment schemes, Peer-to-peer lending service providers, Supervisor
    Type
    PDF, Information Sheet

  3. 29 April 2024

    AML/CFT Customer Due Diligence – Sole traders and partnerships

    This guidance assists reporting entities to conduct customer due diligence (CDD) under the AML/CFT Act 2009 on their customers who are sole traders, partnerships, or limited partnerships. Published April 2024.
    Tags
    AML/CFT, Compliance, Roles, Authorised body under a FAP, Client money or property services provider, Crowdfunding providers, Derivative Issuer, Discretionary investment management scheme (DIMS), Business, Managed investment schemes, Peer-to-peer lending service providers, Supervisor
    Type
    PDF, Information Sheet

  5. 23 April 2024

    liquidity risk management guide

    This FMA guide outlines how Managers and Supervisors can demonstrate they are effectively managing and overseeing liquidity risk.
    Tags
    Managed Investment Schemes, Supervisors, Roles, Business, Managed investment schemes
    Type
    PDF, Guidance

  7. 23 April 2024

    Managed investment scheme manager

    A Managed Investment Scheme (MIS) pools money from a number of investors who rely on the investment expertise of the MIS manager. These schemes can be structured in different ways and may invest in a wide range of investments. On this page you will find the licensing and registration and compliance obligations of a MIS manager. You will also find a list of KiwiSaver exempt employers.
    Tags
    Compliance, Obligations, Licensing & registration, Roles, Business, Managed investment schemes
    Type
    Page

  8. 23 April 2024

    Supervisors

    Supervisors are appointed to look after investors' interests for some types of financial products and the interests of residents of retirement villages. Supervisors covered by the Financial Markets Supervisors Act 2011 (the FMS Act) are those who supervise debt securities; Registered schemes, including KiwiSaver schemes, specified managed funds and superannuation schemes, and retirement villages.View more about licensing and registration and the obligations of Supervisors in New Zealand on this page.
    Tags
    Compliance, Obligations, Licensing & registration, Roles, Business, Managed investment schemes, Supervisor
    Type
    Page

  9. 23 April 2024

    Liquidity risk management guide

    Effective liquidity risk management is a fundamental capability that Managed Investment Scheme (MIS) managers need to implement, maintain and enhance. The guide is designed to assist managers and supervisors effectively manage and oversee liquidity risk.
    Tags
    Roles, Business, Managed investment schemes, News & Insights, Supervisor
    Type
    Page, Guidance

  10. 17 April 2024

    FMA cancels crowdfunding services licence for Equitise

    The FMA has cancelled the crowdfunding services licence of Equitise Pty Ltd (Equitise). The cancellation took effect on 3 April 2024.
    Tags
    Media release, Enforceable undertaking, Powers, Crowdfunding Service Provider, Crowdfunding providers, Roles, Business, News & Insights, Enforcement
    Type
    Page

  11. 16 April 2024

    Implemented Investment Solutions DBG

    Implemented Investment Solutions DBG includes Fundrock NZ Limited and Investnow Saving and Investment Service Limited.
    Tags
    Reporting entities, AML/CFT, Roles, Business, Designated Business Group (DBG)
    Type
    Page

  12. 16 April 2024

    Black Bull Markets DBG

    Black Bull Markets DBG includes Black Bull Group Limited, Black Bull Trade Limited.
    Tags
    Reporting entities, AML/CFT, Roles, Business, Designated Business Group (DBG)
    Type
    Page

  13. 16 April 2024

    Punakaiki Fund DBG

    Punakaiki Fund DBG includes: 2040 Ventures Limited (previous named: Lance Wiggs Capital Management Limited) and Punakaiki Fund Limited.
    Tags
    Reporting entities, AML/CFT, Roles, Business, Designated Business Group (DBG)
    Type
    Page

  14. 15 April 2024

    NZ Funds DBG

    NZ Funds DBG including: New Zealand Administration Services Limited, New Zealand Funds Management Limited, New Zealand Funds Superannuation Limited
    Tags
    AML/CFT, Roles, Reporting entities, Business, Designated Business Group (DBG)
    Type
    Page

  15. 15 April 2024

    Morrison & Co DBG

    Morrison & Co DBG including: Morrison & Co Employee Co-Invest (PIP2) Limited, Morrison & Co Employee Co-Invest (PIP3) Limited, Morrison Investment Management Limited, Morrison Infrastructure Management Limited, Morrison International Limited, Morrison & Co PIP Limited, Morrison & Co SPV Management Limited, Morrison & Co Property Investment Limited.
    Tags
    AML/CFT, Roles, Reporting entities, Business, Designated Business Group (DBG)
    Type
    Page