1. Compliance
  2. Equity or debt issuers
hero blue bg

Equity or debt issuers

If you are an issuer of a unit trust, KiwiSaver, superannuation or other type of managed investment scheme please see our fund manager section.

Offer information 

Depending on whether you choose to adopt the requirements under the Financial Markets Conduct Act 2013 (FMC Act), or continue to make an offer under the transitional provisions of the Securities Act regime, will determine how you present your offer and what your on-going obligations are. Also see this section for transition information to the FMC regime for equity, debt and NBDT issuers.

Calendar

See upcoming events and key dates.

Financial reporting

Under the Financial Markets Conduct Act 2013 there are financial reporting obligations for FMC reporting entities.

Governance

Part 4 of the FMC Act resets the accountability framework for managed investment schemes and debt securities.

Exemptions

Find out more about exemptions for issuers, current notices and how to apply for one.

Fair dealing

Read how the FMC Act provides for fair dealing in relation to financial products and services and sets out minimum compliance standards of behaviour for people operating in the financial markets.

AML/CFT and you

The Anti-Money Laundering and Countering Financing of Terrorism Act (AML/CFT Act) 2009 and its Regulations place obligations on New Zealand’s financial institutions to detect and deter money laundering and terrorism financing. Find out how it affects you.

 

Latest News

Fraud and its far reaching effects hit the big screen

20 September 2016

The inaugural New Zealand International Fraud Film Festival (Fraud Film Festival) is coming to Auckland’s Q Theatre in November. The festival is timed to coincide with November’s Fraud Awareness Week and will open on Friday, 18 November.

 

Latest Consultations

Consultation paper: KiwiSaver advice

8 November 2016

We are seeking feedback on our KiwiSaver advice guidance note.

This guidance note is for providers advising on KiwiSaver products and will replace our 2012 Guidance Note: Sale and Distribution of KiwiSaver. We are replacing this guidance to recognise feedback that our 2012 approach resulted in some people not getting the help they needed, as firms saw it as risky to provide advice. This revised guidance is intended to change that situation, by encouraging advisers and financial firms to help people make good decisions about KiwiSaver.