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Found 6609 results. Displaying page 382 of 441

  1. 1 June 2014

    Certificate of compliance and authority to apply applicant or their authorised person

    Certification of Applicant's compliance with requirements and authority to apply for market service licence under Part 6 of the FMC Act 2013. This is relevant to Crowd funding; Peer-to-peer; MIS; DIMS; derivative issuers and independent trustee applicants.
    Tags
    Crowdfunding providers, Derivative Issuer, Discretionary investment management scheme (DIMS), Independent trustee, Managed investment schemes, Peer-to-peer lending service providers, Roles, Business
    Type
    Word document, Application form

  2. 1 June 2014

    Investor Confidence Research 2014

    The Investor confidence Research report 2014 measures attitudes towards and investment in New Zealand’s financial markets. The research was carried out online using Colmar Brunton’s omnibus.
    Tags
    Monitoring, Reports and Papers, Business, News & Insights
    Type
    PDF, Research

  3. 1 June 2014

    Declaration by independent trustee individual

    Declaration form to be completed by individual independent trustees.
    Tags
    Independent trustee, Roles, Licensing & registration, Declaration, Business
    Type
    Word document, Application form

  4. 1 June 2014

    Declaration by current proposed director of licence applicant

    Declaration to be completed by current or proposed directors of a licence applicant for market services licences under the FMC Act 2013.
    Tags
    Directors, Roles, Declaration, Licensing & registration, Business
    Type
    Word document, Application form

  7. 1 June 2014

    FMA’s supervision of Anti-Money Laundering and Countering Financing of Terrorism

    This 2014 document outlines the Financial Markets Authority’s (FMA’s) priorities for monitoring reporting entities
    under the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (AML/CFT Act).
    Tags
    AML/CFT, Reports and Papers, Roles, Reporting entities, Business, News & Insights
    Type
    PDF

  9. 30 May 2014

    new governance and accountability framework for mis managers and their licensed supervisors 2014

    The FMC Act introduces an accountability framework for managed investment schemes (MIS).
    The requirements include a statutory duty of care on both managers and supervisors of managed investment schemes. Both must also act in the best interests of investors. Managers and supervisors need to have a clear
    understanding of their respective roles and understand they will be held to account for their actions.
    Tags
    Governance, Managed investment schemes, Supervisor, Roles, Business, FMA
    Type
    PDF, Information Sheet

  10. 29 May 2014

    FMA issues formal warning to St Laurence directors - investigation closed

    The Financial Markets Authority (FMA) has closed its investigation into St Laurence Limited (in liquidation) and has formally warned eight directors of St Laurence Limited in respect of potential breaches of the Securities Act.
    Tags
    Media release, News & Insights, Enforcement
    Type
    Page

  15. 20 May 2014

    Middle-income earners much more confident in New Zealand’s financial markets

    A Financial Markets Authority survey of New Zealanders’ attitudes to financial markets, released today, has found confidence in our financial markets is growing. Overall confidence has risen five points to 59 percent from 54 percent in 2013.
    Tags
    Media release, Consumer, News & Insights
    Type
    Page