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Found 1089 results. Displaying page 16 of 73

1. 10 May 2023

   Exemption notice - Sharesies Investment Management Limited

   The Notice exempts Sharesies Investment Management Limited (Sharesies) as manager of the Sharesies KiwiSaver Scheme (Scheme), and the self-select fund in the Scheme (self-select fund) from certain provisions of the Financial Markets Conduct Act 2013.

2. 9 May 2023

   Exemption notice expired - Sharesies 2023

   Sharesies EXPIRED exemption notice.

3. 9 May 2023

   Sharesies levy waiver

   Pursuant to REgulation 14 of the Financial Markets Authority (Levies) Regulations 2012, the FMA grated a waiver of part of the FMA levy to the proposed Sharesies KiwiSaver Scheme.

4. 9 May 2023

   Supervisors Licence Covenant Trustee Services Limited

   Covenant Trustee Services Limited is licensed to act as supervisor for debt securities, registered schemes, and retirement villages in New Zealand.

5. 8 May 2023

   Supervisor Licence - the new zealand guardian trust company limited

   This licence certificate is to certify that The New Zealand Guardian Trust Company LImited, FSP33501 is licenced as a Supervisor in respect of debt securities and registered schemes in New Zealand.

6. 27 April 2023

   30 September 2022 Disclose Register MIS fund update

   Disclose Register MIS fund update 30 September 2022

7. 27 April 2023

   31 December 2022 Disclose Register MIS fund update

   MIS Disclose Data 31 December 2022

8. 20 April 2023

   Am I a Climate Reporting Entity FAQ

   Entities required by legislation to produce climate statements are known as Climate Reporting Entities or CREs. Find out if you are a Climate Reporting Entity on this fact sheet.

9. 20 April 2023

   Authorised Bodies Climate Reporting Entities Flow Chart

   This flowchart can be used to determine if an authorised body is a climate reporting entity.

10. 6 April 2023

    Peer-to-Peer lending and Crowdfunding: sector snapshot

    Crowdfunding and Peer-to-Peer sector report for the 2022 period.

11. 30 March 2023

    Content and form of Disclose register information guidance

    This guidance note is for Issuers and advisers who are required to produce a register entry for an offer of financial products under the FMC Act 2013. It gives guidance on matters the FMA recommends you consider when producing your register entry.

12. 27 March 2023

    AML/CFT FAQs

    Frequently asked questions answered about AML/CFT and obligations of reporting entities in New Zealand.

13. 16 March 2023

    How the FAP licence classes compare

    FMA guide compares Class 1, 2, and 3 FAP licences to help financial advisers choose the right licensing option for their business.

14. 15 March 2023

    FAP licences Classes of financial advice service

    The FMA specifies three licence classes for financial advice providers (FAP): Class 1, Class 2 and Class 3. See section 395(2) of the Financial Markets Conduct Act 2013 as amended by the Financial Services legislation Amendment Act 2019 (FMC Act). Licence classes apply to the manner in which regulated financial advice may be provided but do not limit the types of financial advice that may be provided under the licence, as the latter is addressed by the competency requirements in the Code of Professional Conduct for Financial Advice Services.

15. 15 March 2023

    Providing advice on behalf of someone else

    Providing advice on behalf of someone else is a way you can operate under the new financial advice regime. See the licensing requirements, costs and next steps here.