
SERVICES
Licenses
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Derivatives Issuers License (FMA)
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Discretionary Investment Management Service (DIMS) License
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Crowd Funding License
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Independent Trustee License
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Managed Investment Scheme Manager (MIS) License
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Peer-to-Peer Lending License
Compliance
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Compliance infrastructure
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Documentation
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Compliance Support
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Compliance Governance
Risk Management
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Credit Risk Management
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Counter-party Risk Management
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Business Risk Management
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Exposure Risk Management including Value at Risk (VAR)
Anti-Money Laundering
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Assist with the development of risk assessment
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Assist with the development of AML/CFT compliance programme
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Develop systems to meet the obligations for record keeping
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Electronic verification of clients' information
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Sanction and politically exposed persons (PEPS) screening
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Assist with regulatory matters and inspections
Disputes
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Fees
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Commissions
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Pricing
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Trade execution
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Remuneration/claim
NZX Participant
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NZX Trading and Advising Firm
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Trading Participant
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Principal Book only Dealer
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Bank only Participant
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NZX Advising Firm
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NZX Sponsor
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Distribution and Underwriting Sponsor
NZX Derivative Market Participant
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Trading
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Advising