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  4. 11 April 2016

    Stephen Duff

    Stephen Duff (also known as Nick Duff) offered, and the FMA accepted, the attached Enforceable Undertaking pursuant to section 46 of the Financial Markets Authority Act 2011. Read more.
    Tags
    Enforceable undertaking, Powers, Enforcement
    Type
    Page

  6. 7 April 2016

    Consultation paper: Exemption for small offers of co-operative shares

    Consultation paper: Exemption for small offers of co-operative shares. We are seeking views on the proposals to provide class exemptions which provide co-operative companies and industrial and provident societies a lighter path of compliance with the Financial Markets Conduct Act 2013 (FMC Act) when they offer their members shares of minimal value.
    Tags
    Offer disclosure for equity and debt offers, Offer information, Consultations, Exemptions, Roles, Business, FMA
    Type
    Page

  7. 7 April 2016

    Consultation Paper Exemption for small offers of co operative shares

    This consultation is for: co-operative companies, industrial and provident societies, and their respective industry bodies, investors and advisers. It aims to: seek views on our proposals for exemptive relief under the FMC Act for certain offers of cooperative shares.
    Tags
    Consultations, FMC Act, Legislation, Business
    Type
    PDF

  8. 4 April 2016

    Fisher Funds Management Limited

    Fisher Funds Management Limited, FSP38581, is a licensed Managed Investment Scheme Manager.
    Tags
    Managed investment schemes, Licensed entity, Roles, Business
    Type
    Page

  10. 1 April 2016

    BT Funds Management (NZ) Limited

    BT Funds Management (NZ) Limited, FSP32662, is a licensed Managed Investment Scheme Manager.
    Tags
    Managed investment schemes, Licensed entity, Roles, Business
    Type
    Page

  11. 1 April 2016

    Oyster Management Limited

    Oyster Management Limited, FSP38803, is a licensed Managed Investment Scheme Manager.
    Tags
    Managed investment schemes, Licensed entity, Roles, Business
    Type
    Page

  14. 31 March 2016

    Guide for peer-to-peer lending services on publishing default rate information

    Guide for peer-to-peer lending services on publishing default rate information guide contains information to help peer-to-peer licensees understand and meet the minimum licensing standard to publish default rate information.
    Tags
    Roles, Business, Peer-to-peer lending service providers
    Type
    Page, Guidance