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Found 77 results. Displaying page 4 of 4

    • Monitoring and compliance
    • Statutory reports

    4 April 2014

    Securities Trustees and Statutory Supervisors - Feedback from monitoring visits

    The findings in this report reflect common issues recorded during our on-site visits of licensees and summarises the overall assessment of monitoring quality (section 1). It also provides key messages for licensees (section 2) and outlines the future focus of monitoring reviews (section 3).

    https://www.fma.govt.nz/news-and-resources/reports-and-papers/securities-trustees-and-statutory-supervisors-feedback-from-monitoring-visits/