Back

Search results

Found 6553 results. Displaying page 2 of 437

  1. 29 April 2024

    AML/CFT Customer Due Diligence – Sole traders and partnerships

    This guidance assists reporting entities to conduct customer due diligence (CDD) under the AML/CFT Act 2009 on their customers who are sole traders, partnerships, or limited partnerships. Published April 2024.
    Tags
    AML/CFT, Compliance, Roles, Authorised body under a FAP, Client money or property services provider, Crowdfunding providers, Derivative Issuer, Discretionary investment management scheme (DIMS), Business, Managed investment schemes, Peer-to-peer lending service providers, Supervisor
    Type
    PDF, Information Sheet

  3. 24 April 2024

    Hz-cap.com - Imposter, unsolicited offer

    Hz-cap.com has been cold calling New Zealand residents, attempting to offer an investment in Starlink IPO. Unsolicited offers of financial products are prohibited in New Zealand.
    Tags
    Imposter website, Scams
    Type
    Page

  5. 23 April 2024

    liquidity risk management guide

    This FMA guide outlines how Managers and Supervisors can demonstrate they are effectively managing and overseeing liquidity risk.
    Tags
    Managed Investment Schemes, Supervisors, Roles, Business, Managed investment schemes
    Type
    PDF, Guidance

  8. 23 April 2024

    News & Insights

    This section of the FMA website includes all news issued by the FMA including media releases; reports and papers; speeches; research papers; articles and opinion pieces.
    Tags
    News & Insights
    Type
    Page

  9. 23 April 2024

    Managed investment scheme manager

    A Managed Investment Scheme (MIS) pools money from a number of investors who rely on the investment expertise of the MIS manager. These schemes can be structured in different ways and may invest in a wide range of investments. On this page you will find the licensing and registration and compliance obligations of a MIS manager. You will also find a list of KiwiSaver exempt employers.
    Tags
    Compliance, Obligations, Licensing & registration, Roles, Business, Managed investment schemes
    Type
    Page

  10. 23 April 2024

    Supervisors

    Supervisors are appointed to look after investors' interests for some types of financial products and the interests of residents of retirement villages. Supervisors covered by the Financial Markets Supervisors Act 2011 (the FMS Act) are those who supervise debt securities; Registered schemes, including KiwiSaver schemes, specified managed funds and superannuation schemes, and retirement villages.View more about licensing and registration and the obligations of Supervisors in New Zealand on this page.
    Tags
    Compliance, Obligations, Licensing & registration, Roles, Business, Managed investment schemes, Supervisor
    Type
    Page

  11. 23 April 2024

    Finance professionals

    The business pages provide financial market participants with guidance and information to fulfil your ongoing licence and regulatory obligations.
    Tags
    Compliance, Business, FMA
    Type
    Page

  12. 23 April 2024

    Liquidity risk management guide

    Effective liquidity risk management is a fundamental capability that Managed Investment Scheme (MIS) managers need to implement, maintain and enhance. The guide is designed to assist managers and supervisors effectively manage and oversee liquidity risk.
    Tags
    Roles, Business, Managed investment schemes, News & Insights, Supervisor
    Type
    Page, Guidance

  13. 22 April 2024

    Jarden Wealth Limited

    Jarden Wealth Limited is an AML/CFT reporting entity.
    Tags
    Type
    Page