Back

Search results

Found 6608 results. Displaying page 310 of 441

  1. 24 May 2017

    Licensing overview report

    What we found and what you need to know to meet your licence obligations.with the FMA.
    Tags
    Reports and Papers, Client money or property services provider, Crowdfunding providers, Cryptocurrencies, Derivative Issuer, Discretionary investment management scheme (DIMS), Offer disclosure for equity and debt offers, Financial Advice Provider, Licensing & registration, Roles, Business, Managed investment schemes, News & Insights, Peer-to-peer lending service providers
    Type
    Page, Report

  2. 24 May 2017

    Licensing overview report 2017

    This report aims to Outline how we applied a flexible approach to applications and explain how the minimum standards and FMC Act eligibility criteria fit together, plus more.
    Tags
    Licensing & registration, Reports and Papers, Business, News & Insights
    Type
    Page, Report

  3. 23 May 2017

    Licensing guide - FMC Act

    To offer certain financial products and services in New Zealand, you need to be licensed. Being licensed shows your customers you meet the legal eligibility criteria and levels of compliance in the Financial Markets Conduct Act (FMC Act). This guide provides you with an understanding of your obligations under the Act when applying for a licence with the FMA.
    Tags
    FMC Act, Legislation, Licensing & registration, Business
    Type
    PDF

  4. 22 May 2017

    Consultation paper: Proposed exemption from the obligation to prepare scheme financial statements for bundled unit trusts

    Consultation paper: Proposed exemption from the obligation to prepare scheme financial statements for bundled unit trusts. It exempts from the requirement to prepare financial statements for the scheme (as opposed to financial statements for each of the separate funds) provided the criteria in clause 5 are met. Read more.
    Tags
    Consultations, Roles, Business, Managed investment schemes, Supervisor
    Type
    Page

  8. 18 May 2017

    Former financial adviser pleads guilty to four charges under Crimes Act

    Anthony Wilson, a former Registered Financial Adviser pleaded guilty at the Auckland District Court to two charges of making a false document for pecuniary advantage. The charges were filed by the Financial Markets Authority (FMA) under the Crimes Act. Read more.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  11. 15 May 2017

    Consultation paper: Class designation of shares to managed investment products in an MIS

    Consultation paper: Class designation of shares to managed investment products in an MIS. This consultation paper considers when shares in investment companies may be designated as managed investment products (MIPs). Being MIPs subject these investment companies to the licensing, disclosure and governance requirements of managed investment schemes.
    Tags
    Investing, Consultations, Roles, Business, Consumer, Managed investment schemes
    Type
    Page

  13. 12 May 2017

    Pearson Investments LLC

    Pearson Investments is not incorporated in New Zealand nor registered on the FSPR therefore is not permitted to provide financial services to New Zealand residents.
    Tags
    Investor warning, Unregistered business, Consumer
    Type
    Page