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Found 2480 results. Displaying page 47 of 166

  1. 2 February 2023

    BMS RISK SOLUTIONS (NZ) LIMITED

    BMS RISK SOLUTIONS (NZ) LIMITED is an AML reporting entity.
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  2. 2 February 2023

    BOOTH FINANCIAL SERVICES LIMITED

    BOOTH FINANCIAL SERVICES LIMITED is an AML reporting entity.
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  3. 2 February 2023

    BOOST BROKERS WAIKATO LIMITED

    BOOST BROKERS WAIKATO LIMITED is an AML reporting entity.
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  4. 2 February 2023

    BLOSSUM TRUSTEE LIMITED

    BLOSSUM TRUSTEE LIMITED is an AML reporting entity.
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  5. 2 February 2023

    BLUE CANOE LIMITED

    BLUE CANOE LIMITED is an AML reporting entity.
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  6. 2 February 2023

    AON NEW ZEALAND

    AON NEW ZEALAND is an AML reporting entity.
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  7. 2 February 2023

    Reasonable grounds for financial advice about financial products - guidance

    Guidance on the FMA’s approach to applying and enforcing Code Standard 3 of the Code of Professional Conduct for Financial Advice Services, in relation to financial advice about financial products purchased for investment purposes.
    Tags
    Financial Advice Provider, Financial Adviser, Roles, Business, Nominated representatives
    Type
    PDF

  8. 31 January 2023

    AML/CFT Reporting Entities

    Information about the AML/CFT reporting entities supervised by the FMA can be found here.
    Tags
    AML/CFT, Roles, Reporting entities, Business
    Type
    Page

  9. 31 January 2023

    Seraphim Venture Partners Limited

    Seraphim Venture Partners Limited, FSP1004384, is an AML/CFT reporting entity
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  10. 31 January 2023

    Financial Markets Conduct - NZX Listing Rules Approval of Rule Change Notice 2023

    This notice is the Financial Markets Conduct (NZX Listing Rules) Approval of Rule Change Notice 1/2023. This notice comes into force on 31 January 2023. This notice approves amendments to the NZX Listing Rules. The amendments
    relate primarily to the NZX Corporate Governance Code (the Code), contained at Appendix 1 to the Listing Rules.
    Tags
    Roles, Business, Market operator
    Type
    PDF, Notice

  11. 30 January 2023

    Consultationpaper: Renewal of class exemption for dual language (English and te reo Māori) product disclosure statements

    We are reviewing whether to renew for a further five years an existing class exemption notice that allows product disclosure statements to be provided in full in both te reo Māori and English (dual language PDSs).
    Tags
    Crowdfunding providers, Financial Adviser, Financial Institutions, Roles, Business, Managed investment schemes, Peer-to-peer lending service providers
    Type
    PDF

  12. 24 January 2023

    Sharesies DBG

    Sharesies DBG including: Sharesies Ltd, and Sharesies Nominee Limited
    Tags
    AML/CFT, Roles, Reporting entities, Business, Designated Business Group (DBG)
    Type
    Page

  13. 20 January 2023

    MIS Sector Risk Assessment 2023

    Findings from the FMA’s assessment of the sector risks and the underlying key risk factors for Managed Investment Schemes (MIS), January 2023
    Tags
    KiwiSaver providers, Roles, Business, Managed investment schemes, Supervisor
    Type
    PDF

  14. 19 January 2023

    FMA publishes fund manager risk assessment report

    The FMA has published its Managed Investment Schemes (MIS) Sector Risk Assessment, which analyses key risks in the funds management industry at a sector level.
    Tags
    Media release, Roles, Business, Managed investment schemes, News & Insights, Supervisor
    Type
    Page

  15. 19 January 2023

    Managed Investment Scheme – Sector Risk Assessment

    This sector risk assessment (SRA) identifies some areas in the Managed Investment Schemes (MIS) sector the FMA considers to be higher risk.
    Tags
    Reports and Papers, KiwiSaver providers, Roles, Supervisors, Business, Managed investment schemes, News & Insights
    Type
    Page