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Issuers and offers

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Found 13 results. Displaying page 1 of 1

  1. 20 February 2015

    Content and form of Disclose register information

    150220 Content and form of Disclose register information guidance note
    This guidance note is for issuers and advisers who are required to produce a register entry for an offer of financial products under the FMC Act. It gives guidance on matters the FMA recommends you consider when producing your register entry. It does not prescribe a single ‘best practice’ approach to register entries as different approaches may be suitable for different businesses.

    http://fma.govt.nz/compliance/guidance-library/issuers-and-offers/content-and-form-of-disclose-register-information/

  2. 1 December 2014

    Offering financial products in New Zealand and Australia under mutual recognition (MRSO)

    141201 Offering financial products in New Zealand and Australia under mutual recognition (MRSO)
    December 2014
    This is a joint guidance, in partnership with Australian Securities and Investments Commission (ASIC).
    This is a guide for New Zealand and Australian issuers offering financial products including interests in managed or collective investment schemes in both countries. It explains what issuers have to do under the trans-Tasman mutual recognition scheme for offers of financial products.

    http://fma.govt.nz/compliance/guidance-library/issuers-and-offers/offering-financial-products-in-new-zealand-and-australia-under-mutual-recognition-mrso/

  3. 1 May 2014

    New governance and accountability framework for debt issuers and their licensed supervisors

    140501 New governance and accountability framework for debt issuers and their licensed supervisors
    The Financial Markets Conduct (FMC) Act 2013 changes the governance and accountability framework for financial products. Find out what these changes mean for debt issuers and their licensed supervisors

    http://fma.govt.nz/compliance/guidance-library/issuers-and-offers/new-governance-and-accountability-framework-for-debt-issuers-and-their-licensed-supervisors-2/