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Found 6004 results. Displaying page 3 of 401

  1. 9 May 2023

    Supervisors Licence Covenant Trustee Services Limited

    This is to certify that COVENANT TRUSTEE SERVICES LIMITED FSP30521, is licensed under section 16(1) of the Financial Markets Supervisors Act 2011 to act as a supervisor in respect of debt securities; a supervisor in respect of registered schemes excluding KiwiSaver schemes, Superannuation schemes and Workplace Savings schemes and a statutory supervisor in respect of retirement villages.

    https://www.fma.govt.nz/assets/Compliance/Supervisors-Licence-Covenant-Trustee-Services-Limited.pdf (249 KB)

    Tags
    Licence, Roles, Licensing & registration, Business, Supervisor
    Type
    PDF

  6. 8 May 2023

    Contact

    Find out how to contact the FMA if you wish to ask us a question; make a complaint; contact our helplines, visit our offices or make a media enquiry.

    https://www.fma.govt.nz/contact/

    Tags
    FMA
    Type
    Page

  7. 5 May 2023

    MOU between Australian Securities and Investments Commission ASIC Reserve Bank of Australia RBA Financial Markets Authority FMA and Reserve Bank of New Zealand RBNZ

    MOU between Australian Securities and Investments Commission (ASIC), Reserve Bank of Australia (RBA), Financial Markets Authority (FMA) and Reserve Bank of New Zealand (RBNZ)

    https://www.fma.govt.nz/assets/MOU/MOU-between-Australian-Securities-and-Investments-Commission-ASIC-Reserve-Bank-of-Australia-RBA-Financial-Markets-Authority-FMA-and-Reserve-Bank-of-New-Zealand-RBNZ.pdf (407 KB)

    Tags
    Regulatory cooperation, FMA
    Type
    PDF, MOU

  10. 4 May 2023

    Financial Markets Conduct (Sharesies KiwiSaver Scheme) Exemption Notice 2023

    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 (the FMC Act) and the Financial Markets Conduct Regulations 2014 (the FMC Regulations), and the Financial Markets Conduct (Fees) Regulations 2014.

    https://www.fma.govt.nz/business/legislation/exemptions/expired-exemptions/financial-markets-conduct-sharesies-kiwisaver-scheme-exemption-notice-2023/

    Tags
    Exemptions, Business
    Type
    Page

  11. 3 May 2023

    Financial Advice Provider (FAP)

    A financial advice provider (FAP) is an individual or entity (e.g. a company) that provides a "financial advice service". Find out more about licensing, registration, costs and ongoing obligations as well as how to comply with the new Code of Professional Conduct for financial advice services including competence, knowledge and skill requirements as well as requirements for ethical behaviour, conduct and client care.

    https://www.fma.govt.nz/business/services/financial-advice-provider/

    Tags
    New Financial Advice regime, Compliance, Financial Advice Provider, Obligations, Licensing & registration, Roles, Business
    Type
    Page

  14. 2 May 2023

    ‘5 mins with the FMA’ podcast #6: Financial Advice Providers

    ‘5 mins with the FMA’ podcast #6: We talk to Michael Hewes about New Zealand’s new-look financial advice regime, which has just passed a major milestone, with all financial advice providers now required to hold or operate under a full license.

    https://www.fma.govt.nz/library/podcast/5-mins-with-the-fma-podcast-6-financial-advice-providers/

    Tags
    Financial Advice Provider, Roles, Licensing & registration, Podcast, Business, News & Insights
    Type
    Page, Podcast