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SERVICES

Licenses

  • Derivatives Issuers License (FMA)

  • Discretionary Investment Management Service (DIMS) License

  • Crowd Funding License

  • Independent Trustee License

  • Managed Investment Scheme Manager (MIS) License

  • Peer-to-Peer Lending License

Compliance

  • Compliance infrastructure

  • Documentation

  • Compliance Support

  • Compliance Governance

Risk Management

  • Credit Risk Management

  • Counter-party Risk Management

  • Business Risk Management

  • Exposure Risk Management including Value at Risk (VAR)

Anti-Money Laundering

  • Assist with the development of risk assessment

  • Assist with the development of AML/CFT compliance programme

  • Develop systems to meet the obligations for record keeping

  • Electronic verification of clients' information

  • Sanction and politically exposed persons (PEPS) screening

  • Assist with regulatory matters and inspections

Disputes

  • Fees

  • Commissions

  • Pricing

  • Trade execution

  • Remuneration/claim

NZX Participant 

  • NZX Trading and Advising Firm

  • Trading Participant

  • Principal Book only Dealer

  • Bank only Participant

  • NZX Advising Firm

  • NZX Sponsor

  • Distribution and Underwriting Sponsor

NZX Derivative Market Participant 

  • Trading

  • Advisin

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© 2017 by Bellwether Consulting

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