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Legal and regulation

Legal and regulation

The legal stuff.

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7 articles in this collection
Written by Sharesies Help

Gifts Terms & Conditions

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Written by Sharesies Help
Updated over a week ago

Sharesies AU Pty Limited—Financial Services Guide

As at 16 April 2021.
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Written by Sharesies Help
Updated over a week ago

Regulation

We're regulated in New Zealand as a Registered Financial Services Provider.
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Written by Sharesies Help
Updated over a week ago

Who Sharesies works with

Sharesies is a customer of CMC Markets Stockbroking Ltd and DriveWealth. We're an NZX Trading and Advising Participant.
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Written by Sharesies Help
Updated over a week ago

Prescribed Person

We need to identify anyone using Sharesies who’s a Prescribed Person of another Trading Participant or NZX Advising firm.
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Written by Sharesies Help
Updated over a week ago

Provide source of funds and source of wealth

Sometimes we may require source of funds and source of wealth to meet anti-money laundering (AML) requirements.
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Written by Sharesies Help
Updated over a week ago

Automatic Exchange of Information (AEOI)

Why we need to collect, report, and exchange tax information.
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Written by Sharesies Help
Updated over a week ago
Sharesies Help Centre Australia