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  1. 18 December 2013

    National Finance 2000 Ltd (NFL)

    FMA alleged that the directors (Trevor Allan Ludlow, Carol Braithwaite, Anthony Banbrook) made untrue statements in the registered prospectus for National Finance 2000 Limited. Read more.
    Tags
    Court – criminal, Powers, Enforcement
    Type
    Page

  2. 17 December 2013

    FMA guidance helps consumers access financial advice

    The Financial Markets Authority has released guidance documents to help financial advisers give high-quality personalised advice.
    Tags
    Media release, Consumer, News & Insights
    Type
    Page, Guidance

  3. 17 December 2013

    National Bank of Slovakia - MOU

    MOU concerning consultation, cooperation and the exchange of information related to the supervision of AIFMD entities between the FMA and the National Bank of Slovakia
    Tags
    Regulatory cooperation, FMA
    Type
    PDF, MOU

  6. 13 December 2013

    Consultation Papers on draft minimum standards and conditions for new licenses

    CONSULTATION PAPER: The Financial Markets Conduct Act 2013 (the Act) introduces licensing for providers offering certain types of financial services. We are now consulting on the proposed minimum standards for these licence types. Read more here.
    Tags
    Crowdfunding providers, Derivative Issuer, Discretionary investment management scheme (DIMS), Independent trustee, Licensing & registration, Consultations, Roles, Business, Managed investment schemes, Peer-to-peer lending service providers
    Type
    Page

  8. 13 December 2013

    Consultation Papers on draft minimum standards and conditions for new licenses

    CONSULTATION PAPER: The Financial Markets Conduct Act 2013 (the Act) introduces licensing for providers offering certain types of financial services. We are now consulting on the proposed minimum standards for these licence types. Read more here.
    Tags
    Crowdfunding providers, Derivative Issuer, Discretionary investment management scheme (DIMS), Independent trustee, Licensing & registration, Consultations, Roles, Business, Managed investment schemes, Peer-to-peer lending service providers
    Type
    Page

  9. 12 December 2013

    Financial Supervision Commission of Bulgaria - MOU

    MOU concerning consultation, cooperation and the exchange of information related to the supervision of AIFMD entities between the FMA and the Financial Supervision Commission of Bulgaria.
    Tags
    Regulatory cooperation, FMA
    Type
    PDF, MOU

  10. 12 December 2013

    Cyprus Securities and Exchange Commission - MOU

    MOU concerning consultation, cooperation and the exchange of information related to the supervision of AIFMD entities between the FMA and the Cyprus Securities and Exchange Commission.
    Tags
    Regulatory cooperation, FMA
    Type
    PDF, MOU

  11. 12 December 2013

    Czech National Bank (Czech Republic) - MOU

    MOU concerning consultation, cooperation and the exchange of information related to the supervision of AIFMD entities between the FMA and the Czech National Bank (Czech Republic).
    Tags
    Regulatory cooperation, FMA
    Type
    PDF, MOU

  12. 12 December 2013

    Finanstilsynet (Denmark) - MOU

    MOU concerning consultation, cooperation and the exchange of information related to the supervision of AIFMD entities between the FMA and the Financial Supervision Commission of Bulgaria.MOU concerning consultation, cooperation and the exchange of information related to the supervision of AIFMD entities between the FMA and Finanstilsynet (Denmark).
    Tags
    Regulatory cooperation, FMA
    Type
    PDF, MOU

  13. 12 December 2013

    Estonian Financial Supervision Authority - MOU

    MOU concerning consultation, cooperation and the exchange of information related to the supervision of AIFMD entities between the FMA and the Estonian Financial Supervision Authority (Estonia).
    Tags
    Regulatory cooperation, FMA
    Type
    PDF, MOU

  14. 12 December 2013

    Fjarmalaeftirlitio (Iceland) - MOU

    MOU concerning consultation, cooperation and the exchange of information related to the supervision of AIFMD entities between the FMA and the Fjarmalaeftirlitio (Iceland).
    Tags
    Regulatory cooperation, FMA
    Type
    PDF, MOU

  15. 12 December 2013

    Autorite des marches financiers (France) - MOU

    MOU concerning consultation, cooperation and the exchange of information related to the supervision of AIFMD entities between the FMA and the Autorite des marches financiers (France)
    Tags
    Regulatory cooperation, FMA
    Type
    PDF, MOU