Search results

Tiger Brokers DBG

Tiger Brokers DBG including: Tiger Brokers (NZ) Limited andTiger Fintech (NZ) Limited

Guidance Note: Broker Obligations

This guidance is aimed at improving compliance with broker conduct obligations and trust accounting obligations in Part 3A of the Act, by setting out how FMA interprets and applies certain parts of Part 3A. The focus of this guidance is on custody of client money and client property, and the key obligation of brokers to hold client money and client property on trust.

Broker obligations

Broker obligations guidance note is based on the law as at January 2014, and is for brokers (as defined in the Financial Advisers Act 2008 (Act)). The focus of this guidance is on custody of client money and client property, and the key obligation of brokers to hold client money and client property on trust.

Tascadero Group S.A

Un-registered overseas brokers and false/misleading advertising.

FMO Services LP

Un-registered overseas brokers & false/misleading advertising.

PIONEER BROKERS LIMITED

PIONEER BROKERS LIMITED is an AML/CFT reporting entity.

Broker Obligations guidance note

The focus of this guidance is on custody of client money and client property, and the key obligation of brokers to hold client money and client property on trust.