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Found 6559 results. Displaying page 199 of 438

  1. 23 June 2021

    MIS liquidity risk management review

    Recommendations on liquidity stress testing frameworks, processes and procedures for managed investment schemes (MIS).
    Tags
    Roles, Business, Managed investment schemes, Supervisor
    Type
    Page, Guidance

  2. 22 June 2021

    MIS liquidity risk management review

    This report contains recommendations on liquidity stress testing frameworks, processes and procedures, following the August 2020 self-assessment survey completed by regulated entities for a two-year period ending 31 December 2019. It will be useful for directors, senior management and investment personnel of managed investment schemes.
    Tags
    Roles, KiwiSaver providers, Business, Managed investment schemes, Supervisor
    Type
    PDF, Report

  7. 16 June 2021

    Catalist Markets Limited

    Catalist Markets Limited is a licensed market operator.
    Tags
    Market operator, Roles, Licensed entity, Business
    Type
    Page

  8. 16 June 2021

    Financial advice lender exclusion updated 2021

    This information sheet explains the circumstances that may exclude a lender from some Financial Markets Conduct Act 2013 (FMC Act) obligations related to financial advice. The exclusion applies only in relation to consumer credit contracts and certain credit-related insurance contracts. Updated documented published 16/06/21
    Tags
    Financial Adviser, Roles, Business
    Type
    PDF, Information Sheet

  9. 16 June 2021

    KiwiSaver switching behaviour 150621

    The aim of this research was to identify how any switches and other transactions took place between Febuary and April 2020 at the height of the market volatility associated with COVID-19
    Tags
    Reports and Papers, KiwiSaver providers, Supervisor, Managed investment schemes, Roles, COVID-19, Business, News & Insights
    Type
    PDF

  10. 16 June 2021

    KiwiSaver switching research

    A review of KiwiSaver member behaviour in response to COVID-19. The research focused on the increased switching behaviour observed during the period of heightened market volatility in Feb-April 2020.
    Tags
    COVID-19, Roles, Reports and Papers, Business, Managed investment schemes, News & Insights, Supervisor
    Type
    Page, Research

  11. 16 June 2021

    Licensing interposed persons and engaged entity arrangements information sheet

    This information sheet sets out FMA’s approach to licensing financial advice arrangements and provides guidance on circumstances where an engaged entity or interposed person won’t need to be licensed as a FAP.
    Tags
    Roles, Licence guide, Licensing & registration, Business, Interposed persons under new financial advice regime
    Type
    PDF, Information Sheet

  12. 16 June 2021

    Financial advice given for the purpose of complying with lender responsibilities

    This information sheet explains the circumstances that may exclude a lender from some Financial Markets Conduct Act 2013 (FMC Act) obligations related to financial advice. The exclusion applies only in relation to consumer credit contracts and certain credit-related insurance contracts.
    Tags
    Financial Advice Provider, Financial Adviser, Roles, Financial Institutions, Business
    Type
    Page, Guidance

  13. 15 June 2021

    Protect Financial Services Limited

    Protect Financial Services Limited (FSP394606) is an AML/CFT reporting entity.
    Tags
    AML/CFT, Roles, Reporting entities, Business
    Type
    Page