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  1. 11 March 2016

    Warning: Beware of unsolicited offers of employment

    We have become aware that an organisation falsely claiming to be associated with a New Zealand Authorised Financial Adviser has been contacting members of the public via the Australian website www.seek.com.au offering employment as Payment Security Managers.
    Tags
    Scams
    Type
    Page

  4. 10 March 2016

    Simon Brodie

    Simon Brodie, FSP477367, is a licensed Independent Trustee.
    Tags
    Independent trustee, Licensed entity, Roles, Business
    Type
    Page

  5. 4 March 2016

    Consultation paper: Exemptions impacting overseas businesses, and restricted schemes

    Consultation paper: Exemptions impacting overseas businesses, and restricted schemes. This consultation details our proposed exemptions to provide relief on four issues affecting overseas businesses, and trustees for restricted schemes
    Tags
    Client money or property services provider, Independent trustee, Consultations, Exemptions, Roles, Business
    Type
    Page

  6. 3 March 2016

    IFIAR Survey of Inspection Findings 2015

    In 2015, the International Forum of Independent Audit Regulators (IFIAR) conducted its fourth annual survey of findings (Survey) identified by its Members in their individual inspections of audit firms affiliated with six large, international audit firmnetworks, referred to as the GPPC networks.
    Tags
    Monitoring, Reports and Papers, Auditors, Roles, Business, News & Insights
    Type
    PDF

  7. 1 March 2016

    Consultation paper Exemptions impacting overseas businesses and restricted schemes 1

    This consultation is for: FMC reporting entities, licensed
    managers and scheme auditors, overseas banks, licensed independent trustees, restricted scheme managers, advisers and interested parties. It aims to seek feedback on the
    exemption proposals explained.
    Tags
    Independent trustee, Managed investment schemes, Consultations, Roles, Business
    Type
    PDF

  8. 1 March 2016

    DGM Service Markets Limited

    DGM Service Markets Limited was deregistered from the Financial Service Providers Register on 7 November 2014 and the company is not registered to provide financial services in New Zealand.
    Tags
    Investor warning, Unregistered business, Consumer
    Type
    Page

  9. 1 March 2016

    ECN Markets

    ECN Markets is not registered to provide financial services in New Zealand.
    Tags
    Type
    Page

  10. 1 March 2016

    Suisse Limited trading as ECN Markets

    ECN Markets or Suisse Limited is not registered to provide financial services in New Zealand.
    Tags
    Investor warning, Consumer
    Type
    Page

  11. 29 February 2016

    How to calculate 0% PIR returns

    How to calculate 0% PIR returns information sheet sets out the formula we expect managers of portfolio investment entity (PIE) funds to use when calculating a fund’s return with a 0% prescribed investor rate.
    Tags
    Roles, Business, Managed investment schemes, Supervisor
    Type
    Page, Guidance

  12. 29 February 2016

    How performance-based fees should be disclosed

    How performance-based fees should be disclosed is an information sheet that outlines how we expect fund managers to disclose performance-based fees to investors.
    Tags
    Roles, Business, Managed investment schemes, Supervisor
    Type
    Page, Information Sheet, Guidance

  13. 26 February 2016

    AMP Wealth Management New Zealand Limited

    AMP Wealth Management New Zealand Limited, FSP25061, is a licensed Managed Investment Scheme Manager.
    Tags
    Managed investment schemes, Licensed entity, Roles, Business
    Type
    Page

  15. 25 February 2016

    PIR Returns information sheet

    This information sheet sets out the formula we expect managers of portfolio investment entity (PIE) funds to use when calculating a fund’s return with a 0% prescribed investor rate.
    Tags
    KiwiSaver providers, Roles, Business, Managed investment schemes, Supervisor
    Type
    PDF, Information Sheet