FMC Act definition
Examples of FMC Act in a sentence
Applicable regulations include the Financial Markets Conduct Regulations 2014 (the ‘Regulations’) and any other regulations that are made pursuant to Part 9 of the FMC Act (together the ‘Applicable Regulations’).
These regulations may change from time to time, so you will need to keep abreast of any new regulations.The FMC Act and regulations also contain many obligations that you will need to comply with when you have a licence even though they are not called licence conditions.
There is a definition of ‘senior manager’ in section 6 of the FMC Act to guide you.
We are licensed by the Financial Markets Authority (FMA) to be a manager of registered managed investment schemes under the FMC Act.
The Manager shall cause the Register to be audited in accordance with section 218 of the FMC Act and regulations 108 to 110 of the FMC Regulations.
The Offer contained in this Offer Document to Eligible Shareholders with registered addresses in New Zealand is made in reliance on the provisions of the Financial Markets Conduct Act 2013 (New Zealand) (FMC Act), the Securities Act (Overseas Companies) Exemption Notice 2013 (New Zealand) and the Financial Markets Conduct (Incidental Offers) Exemption Notice 2016.
Regulations made pursuant to the FMC Act may impose additional conditions on your licence.
This Offer Document has been prepared in accordance with Australian law and has not been registered, filed with, or approved by the New Zealand regulatory authority under the FMC Act.
Where required by the investigating authority, they should retain certain records, e.g. client identification, account files, and business correspondence, for periods which may exceed those required under the FMC Act, SEBI Act, Rules and Regulations framed there-under PMLA, other relevant legislations, Rules and Regulations or Exchange bye-laws or circulars.
This includes:• Your directors and senior managers already covered in the previous section• Other senior key people and managers you haven’t told us about yet, for example someone heading a key business unit who doesn’t meet the definition of ‘senior manager’ in the FMC Act (because they don’t have a significant influence on the management or administration of the entity as a whole).b.