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  2. 30 October 2014

    Reporting duties under Part 4 of the FMC Act

    This information sheet outlines the new reporting duties under the Financial Markets Conduct Act 2013 (FMC Act) for debt issuers, managers of managed investment schemes, supervisors, auditors, investment managers, administration managers, custodians and actuaries.
    Tags
    Client money or property services provider, Roles, Auditors, Offer disclosure for equity and debt offers, Business, Managed investment schemes, Supervisor
    Type
    PDF, Information Sheet

  3. 29 October 2014

    FMA Annual Report 2014

    FMA Annual Report 2014,
    Tags
    Type
    PDF, Annual report, Corporate publications

  4. 28 October 2014

    alcanfml.com

    We believe information on the website is untrue and the company is not authorised to offer the services advertised.
    Tags
    Imposter website, Scams
    Type
    Page

  8. 4 October 2014

    Securities Act (Tairua Marina)

    Securities Act (Tairua Marina) expired exemption notice
    Tags
    Exemptions, Secondary legislation, Business
    Type
    Page

  10. 1 October 2014

    KiwiSaver Report 2014

    This KiwiSaver Report 2014 has been prepared in accordance with section 194 of the Act. It details the principal matters transacted under the Act during the period 1 July 2013 to 30 June 2014 (the Reporting Period), and contains the seventh annual summary of the statistical returns required to be lodged by KiwiSaver schemes under section 125 of the Act, as at 31 March 2014.
    Tags
    KiwiSaver providers, Supervisor, Managed investment schemes, Roles, Business
    Type
    PDF, Report

  11. 1 October 2014

    Getting the best outcome from your AMLCFT Audit

    This information is intended to help our REs, especially small financial adviser businesses, get value from their AML/CFT Audit. Adopting all (or any) of these items in discussions with auditors is optional, but we believe that by considering these suggestions, REs are more likely to achieve the best possible results from their audit.
    Tags
    AML/CFT, Roles, Reporting entities, Business
    Type
    PDF

  12. 1 October 2014

    Declaration by executive director of related body

    Declaration form to be completed by executive director's of a related body.
    Tags
    Directors, Authorised body under a FAP, Roles, Declaration, Licensing & registration, Business
    Type
    Word document, Application form

  14. 1 October 2014

    Getting the best outcome from your AML/CFT audit

    Getting the best outcome from your AML/CFT audit is intended to help our reporting entities, especially small financial adviser businesses, get value from their audit.
    Tags
    AML/CFT, Roles, Reporting entities, Business
    Type
    Page, Guidance

  15. 1 October 2014

    Superannuation Schemes Report

    This report has been prepared in accordance with section 28 of the Act and details the principal matters transacted under the Act during the reporting period.
    Tags
    Roles, Reports and Papers, KiwiSaver providers, Business, Managed investment schemes, News & Insights, Supervisor
    Type
    Page, Report