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Found 6546 results. Displaying page 338 of 437

  1. 25 February 2016

    Performance Fee Disclosure information sheet

    This information sheet outlines how we expect fund managers to disclose performance-based fees to investors.
    Tags
    KiwiSaver providers, Roles, Business, Managed investment schemes, Supervisor
    Type
    PDF, Information Sheet

  2. 24 February 2016

    WGM Group Limited

    WGM Group Limited, trading as Belfor FX, has been deregistered from the Financial Service Providers Register and is not registered to provide financial services in New Zealand.
    Tags
    Investor warning, Unregistered business, Consumer
    Type
    Page

  4. 23 February 2016

    Capital Market Investments Limited

    On the website http://www.noafx, Capital Market Investments Limited is claiming to be registered in New Zealand as a financial service provider and also a member of a disputes resolution scheme when in fact it is neither.
    Tags
    Investor warning, Unregistered business, Consumer
    Type
    Page

  7. 16 February 2016

    2016 FMA letter of Expectations

    The annual letter of expectations 2016 issued by the Minister to the FMA that sets out expectations of the Minister to the FMA as a crown entity.
    Tags
    Annual letter of expectations from the Minister, FMA
    Type
    PDF

  9. 10 February 2016

    Regulatory impact statement - Investor warning and acknowledgement exemptions for the $750,000 minimum investment wholesale investor exclusion

    This regulatory impact statement analyses options considered in course of policy work leading to a final decision to exempt offerors of certain debt securities relying on the $750,000 minimum investment wholesale investor exclusion, on conditions, from having to include investor warnings on offer documents and obtain an investor acknowledgement.
    Tags
    RIS, Business
    Type
    PDF

  10. 2 February 2016

    Guide for charities

    This information sheet outlines the options for community and voluntary organisations wanting to borrow money from investors. (This does not include donations).
    Tags
    Offer disclosure for equity and debt offers, Roles, Business
    Type
    PDF

  11. 2 February 2016

    Raising money from investors – a guide for community and voluntary organisations

    Raising money from investors – a guide for community and voluntary organisations information sheet outlines the options for community and voluntary organisations wanting to borrow money from investors. (This does not include donations).
    Tags
    Offer information, Roles, Independent trustee, Client money or property services provider, Business
    Type
    Page, Guidance

  12. 1 February 2016

    Belfor FX (WGM Group Limited)

    Belfor FX has been deregistered from the Financial Service Providers Register and is not registered to provide financial services in New Zealand.
    Tags
    Investor warning, Unregistered business, Consumer
    Type
    Page

  13. 1 February 2016

    Fidelis International Trading Limited

    Fidelis International Trading Limited is not registered to provide financial services in New Zealand.
    Tags
    Investor warning, Unregistered business, Consumer
    Type
    Page

  14. 1 February 2016

    AML/CFT annual monitoring report 2015

    The aim of this report is to summarise our monitoring to help firms and individuals better understand our expectations, and therefore improve their systems and processes, and ensure compliance with the Act. This report covers the period from 1 July 2014 to 30 June 2015.
    Tags
    AML/CFT, Reports and Papers, Roles, Reporting entities, Business, News & Insights
    Type
    PDF