The Custodian Declaration Form is a crucial document required in New Zealand's financial markets regulatory framework. It is typically used when an entity is appointed as a custodian or needs to confirm their ongoing compliance with regulatory requirements. The document includes detailed declarations about the custodian's regulatory status, operational capabilities, compliance with the Financial Markets Conduct Act 2013, and arrangements for safeguarding assets. This form is particularly important in contexts where entities hold or manage assets on behalf of others, requiring robust governance and regulatory oversight. The declaration serves as evidence of the custodian's commitment to maintaining appropriate systems, controls, and procedures for protecting custody assets, while also providing transparency about their regulatory status and operational framework.
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1. Parties: Identification of the Custodian and the entity appointing the custodian
2. Background: Context of the appointment and reference to relevant regulatory framework
3. Definitions: Key terms used in the declaration, including 'Custody Assets', 'Relevant Laws', 'Services'
4. Custodian Details: Full legal name, registration details, and regulatory licenses held by the custodian
5. Regulatory Status: Confirmation of licenses, authorizations and registrations held
6. Compliance Declaration: Declaration of compliance with relevant laws, regulations and requirements
7. Operational Capability: Confirmation of systems, processes and resources to perform custodial duties
8. Asset Segregation: Declaration regarding segregation of custody assets from custodian's own assets
9. Record Keeping: Confirmation of record keeping practices and systems
10. Execution: Signature block and execution details
1. Sub-Custodian Arrangements: Details of any sub-custodian arrangements, used when the custodian delegates duties to other entities
2. Insurance Coverage: Details of professional indemnity and other relevant insurance, included when specifically required by the appointing entity
3. Conflict Management: Declaration regarding management of conflicts of interest, included for more comprehensive declarations
4. Foreign Investment Declaration: Additional declarations required for foreign-owned custodians or foreign investments
5. Business Continuity: Confirmation of business continuity and disaster recovery arrangements, included for higher-risk or larger custody arrangements
1. Schedule 1 - Custody Assets: Detailed list or categories of assets to be held under custody
2. Schedule 2 - Regulatory Licenses: Copies or details of relevant regulatory licenses and authorizations
3. Schedule 3 - Key Personnel: Details of key personnel responsible for custody operations
4. Appendix A - Compliance Checklist: Detailed checklist of regulatory compliance requirements
5. Appendix B - Systems Overview: Overview of custodial systems and operational procedures
Relevant legal definitions
Clauses
Relevant Industries
Financial Services
Banking
Investment Management
Wealth Management
Pension Fund Management
Insurance
Asset Management
Securities Services
Trust Services
Fund Administration
Relevant Teams
Legal
Compliance
Risk Management
Operations
Custody Services
Regulatory Affairs
Corporate Governance
Trust Administration
Client Services
Finance
Relevant Roles
Compliance Officer
Legal Counsel
Risk Manager
Operations Director
Custody Manager
Chief Operating Officer
Regulatory Affairs Manager
Company Secretary
Trust Officer
Financial Controller
Head of Securities Services
Chief Risk Officer
Head of Operations
Relationship Manager
Compliance Manager
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