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Found 6611 results. Displaying page 329 of 441

  1. 29 August 2016

    BNZ Investment Services Limited

    BNZ Investment Services Limited, FSP28021, is a licensed Managed Investment Scheme Manager.
    Tags
    Managed investment schemes, Licensed entity, Roles, Business
    Type
    Page

  2. 25 August 2016

    Kevin Charles Ferguson

    Kevin Charles Ferguson, FSP481866, is a licensed Independent Trustee.
    Tags
    Independent trustee, Licensed entity, Roles, Business
    Type
    Page

  3. 24 August 2016

    Aug 2016 Regulatory response guidelines

    This is a guide on how we regulate financial markets and the responses we use in enforcing legislation. It is for all individuals and businesses involved in providing financial market products and services.
    Tags
    FMA people, Regulation, Business, FMA
    Type
    PDF, Guidance

  4. 24 August 2016

    FMA Co-operation policy 2016

    The Financial Markets Authority (FMA) often receives the co-operation of entities or individuals when we investigate financial market misconduct.
    When deciding whether to pursue a regulatory response against an entity or individual, and if so, what sanction to use, one of the factors we may consider is the nature and extent of any co-operation they have provided.
    Tags
    Regulation, Policy, Business, FMA, Enforcement
    Type
    PDF

  7. 23 August 2016

    Takeovers Panel - MOU

    MOU concerning consultation, cooperation and the exchange of information between the FMA and The Takeovers Panel
    Tags
    Regulatory cooperation, FMA
    Type
    PDF, MOU

  9. 19 August 2016

    Robert Samuel Schoonraad

    Robert Samuel Schoonraad, FSP508846, is a licensed Independent Trustee.
    Tags
    Independent trustee, Licensed entity, Roles, Business
    Type
    Page

  10. 19 August 2016

    Edward John Schuck

    Edward John Schuck, FSP510626, is a licensed Independent Trustee.
    Tags
    Independent trustee, Licensed entity, Roles, Business
    Type
    Page

  14. 16 August 2016

    Generate Investment Management Limited

    Generate Investment Management Limited, FSP271005, is a licensed Managed Investment Scheme Manager.
    Tags
    Managed investment schemes, Licensed entity, Roles, Business
    Type
    Page

  15. 15 August 2016

    FMA legislative notices supporting the FMC Act regime - August 2016

    Read our latest Regulatory update on our legislative notices work to support businesses implementing the FMC Act. This consolidates information to 15 August 2016 to give a picture of our progress and plans.
    Tags
    Regulation updates, Business
    Type
    Page