Financial Markets Conduct Regulations 2014

236 DIMS licensee must provide quarterly report to FMA that identifies certificates


For the purposes of section 411 of the Act, a DIMS licensee must provide to the FMA a report in accordance with this regulation within 10 working days after the expiry of each quarter of each year.


The report must state whether any certificates have been given under section 440 of the Act in the previous quarter and, if so, include a copy of those certificates.