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Found 6558 results. Displaying page 302 of 438

  3. 26 July 2017

    Huang Investments Limited (Hong Kong)

    Huang Investments Limited is not registered to provide financial services in New Zealand.
    Tags
    International regulator alerts, Scams
    Type
    Page

  4. 25 July 2017

    Offering financial products in New Zealand and Australia under mutual recognition (MRSO) regulatory guide

    This is a guide for New Zealand and Australian issuers offering financial products or interests in managed or collective investment schemes in both countries.
    It explains what issuers have to do under the trans-Tasman mutual recognition scheme for offers of financial products.
    This is a joint guide published by the Australian Securities and Investments Commission.
    Tags
    Financial Adviser, Roles, Derivative Issuer, Business
    Type
    PDF, Guidance

  6. 21 July 2017

    Consumers tell FMA about financial providers’ conduct

    The FMA has completed its first survey of consumers’ experience of conduct. It follows the publication of the FMA’s guide to its view of conduct earlier this year. This focused on the ‘five Cs for good conduct’: capability, conflict, culture, controls and communication.
    Tags
    Conduct, Media release, Business, News & Insights
    Type
    Page

  7. 19 July 2017

    FMA confirms KiwiSaver fees methodology

    The FMA has confirmed the methodology KiwiSaver scheme providers must use when calculating the dollar amount of fees paid by KiwiSaver investors for annual statements. The FMA wants to ensure providers are calculating fees accurately without burdening them with unnecessary costs and ensuring they have time to comply.
    Tags
    KiwiSaver providers, Media release, Managed investment schemes, Roles, Business, News & Insights
    Type
    Page

  11. 19 July 2017

    Fee disclosure by managed funds guidance

    Fee disclosure by managed funds guidance helps managers and supervisors understand how fees should be disclosed in Product Disclosure Statements, fund updates and, in respect of KiwiSaver schemes, confirmation information.
    Tags
    Roles, Business, Managed investment schemes, Supervisor
    Type
    Page, Guidance

  15. 13 July 2017

    Former RFA sentenced at Auckland District Court

    A former registered financial adviser, Anthony Wilson, who forged clients’ initials and falsely amended insurance applications has been sentenced to 150 hours of community work, 6 months community detention and ordered to pay reparations of $16,461.24.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page