Legal and regulation
The legal stuff.
6 articles in this collection
Written by Sharesies Help
Written by Sharesies Help
Sharesies AU Pty Limited—Financial Services Guide
As at 16 April 2021.
Written by Sharesies Help
Updated over a week ago
Updated over a week ago
Regulation
We're regulated in New Zealand as a Registered Financial Services Provider.
Written by Sharesies Help
Updated over a week ago
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.
Written by Sharesies Help
Updated over a week ago
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.
Written by Sharesies Help
Updated over a week ago
Updated over a week ago
Provide source of funds and source of wealth
Sometimes we may require proof of funds and source of wealth in line with obligations to meet anti-money laundering (AML) requirements
Written by Sharesies Help
Updated over a week ago
Updated over a week ago
Automatic Exchange of Information (AEOI)
Why we need to collect, report, and exchange tax information.
Written by Sharesies Help
Updated over a week ago
Updated over a week ago