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Example: "How do I apply for a financial institution licence?", "FMA Annual Report 2024"
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John Horner discusses his motivating factors for taking "a new direction" in his career, transitioning from a long-standing law firm partnership to senior roles at the Financial Markets Authority, highlighting the desire for reinvigorating his career and a sense of serving a greater purpose.
Since 1 July 2014, all lawyers and incorporated law firms operating under the Exemption Notice have been required to register as a financial service provider on the financial service providers register. Read more in the New requirements for lawyers offering contributory mortgages information sheet.
Lawyer, Hugh Edward Staples Hamilton (63), who was found guilty of fraud in relation to the collapse of Belgrave Finance Limited (Belgrave), has been sentenced at the Auckland High Court today to four years and nine months’ imprisonment. read more.
From 1 December 2016 all new offers of contributory mortgages must be made under the FMC Act.
Offers of contributory mortgages made by contributory mortgage brokers who are not lawyers are regulated under the Securities Act (Contributory Mortgage) Regulations 1988 (Regulations). The Regulations exempt brokers from certain disclosure and governance requirements, under the Securities Act 1978.
Response to consultation paper from Kensington Swan, 1 Aug 2013: Practical implications of Reporting Entities transacting with other Reporting Entities and the Factsheet on Managing Intermediaries.