Guidance

Found 170 results. Displaying page 12 of 12

1. 16 January 2012

   AML/CFT guide for small financial adviser businesses

   The AML/CFT guide for small financial adviser businesses is designed to help financial advisers working independently or in a small business comply with their obligations under the Anti-Money Laundering and Countering the Financing of Terrorism Act 2009 (the AML/CFT Act) and associated regulations (together AML/CFT law).
2. 1 March 2011

   Good character and criminal convictions: Financial Advisers Act 2008

   Good character and criminal convictions: Financial Advisers Act 2008 guide is intended to answer some of the queries the Commission has received regarding the assessment of good character, as well as provide further guidance on the information applicants need to provide to the Commission in relation to criminal convictions.
3. 1 March 2010

   KiwiSaver distribution and disclosure

   KiwiSaver distribution and disclosure provides technical guidance to KiwiSaver issuers and managers. It sets out FMA's expectations of them in the promotion and distribution of their schemes.
4. 3 April 2008

   KiwiSaver guideline no.KSGN2: Performance fees and ethical fund fees

   The purpose of KiwiSaver guideline no.KSGN2: Performance fees and ethical fund fees is to provide general guidance on how the Government Actuary will view fees to be charged directly to a KiwiSaver Scheme.
5. 1 October 2007

   KiwiSaver guideline no.KSGN1: Unreasonable fees

   KiwiSaver guideline no.KSGN1: Unreasonable fees guidance note provides general guidance on how the Government Actuary will view fees to be charged directly to a KiwiSaver Scheme.