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  3. 16 March 2015

    FMA contingency DIMS seminar - PowerPoint presentation

    FMA contingency DIMS seminar - PowerPoint presentation provides more information on: what is a DIMS, types of DIMS and decisions for AFA's currently authorised for DIMS.
    Tags
    Discretionary investment management scheme (DIMS), Roles, Business
    Type
    Page, Guidance

  4. 16 March 2015

    Proposed financial reporting exemptions for small and medium sized DIMS providers consultation paper

    The FMA is considering a class exemption for small and medium-sized licensed DIMS providers from certain financial reporting obligations. Our proposal is to put in place an exemption that will gradually introduce reporting and auditing requirements based on the size of the DIMS provider.
    Tags
    Discretionary investment management scheme (DIMS), Exemptions, Roles, Business
    Type
    PDF

  7. 13 March 2015

    Consultation paper: Financial Markets Conduct Act exemptions

    Consultation paper: Financial Markets Conduct Act exemptions. We sought comments on matters we believe should receive support through the FMA’s legislative tools, but for which we have yet to develop policy proposals. Read more here.
    Tags
    FMC Act, Legislation, Consultations, Exemptions, Business
    Type
    Page

  8. 13 March 2015

    Financial Markets Conduct Act exemptions consultation paper

    The offer and management of most financial products will fall under the standard ‘regulated offer’ regime or within the Schedule 1 statutory exclusions. However, there are a few areas where the FMA may need to use class exemptions, frameworks, or methodologies and designations (the FMA’s
    legislative tools).
    We want preliminary comments on matters we believe should be considered for support by the
    FMA’s legislative tools, but for which we have not yet developed policy proposals. Your feedback will
    be considered in the development of our proposals
    Tags
    Consultations, FMC Act, Legislation, Business
    Type
    PDF

  10. 12 March 2015

    MSL Capital Markets Limited

    We issued a formal warning to MSL for failing to perform its audit of its AML/CFT risk assessment and AML/CFT programme by 31 October 2014 and to provide a copy of the audit report to us.
    Tags
    AML/CFT, Enforceable action, Roles, Formal warning, AML/CFT formal warning, Powers, Business, Enforcement
    Type
    Page

  11. 9 March 2015

    FMA spells out practical approach to supervision responsibilities under new law

    FMA has spelt out its practical approach to its supervision responsibilities, as the financial services and markets regulator increases the emphasis on supervision under the newly-effective FMC Act 2013.
    Tags
    Governance, FMC Act, Media release, Legislation, Business, FMA, News & Insights
    Type
    Page

  13. 6 March 2015

    Nikko Asset Management New Zealand Limited

    Nikko Asset Management New Zealand Limited, FSP22562, is a licensed Managed Investment Scheme Manager.
    Tags
    Managed investment schemes, Licensed entity, Roles, Business
    Type
    Page

  15. 3 March 2015

    FMA welcomes opportunity to review financial advice laws

    FMA welcomes today’s announcement by the Minister of Commerce and Consumer Affairs, Paul Goldsmith, about the review of legislation governing financial advisers.
    Tags
    Financial Service providers Act 2008, Media release, Legislation, Business, News & Insights
    Type
    Page