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Guidance library

This guidance library contains the FMA’s guidance notes, information sheets, guides and other reference material. 

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Found 108 results. Displaying page 1 of 6

    • Crowdfunding and peer-to-peer lending
    • Fair dealing

    15 March 2018

    Fair dealing in advertising and communications – crowdfunding and peer-to-peer lending

    The aim of this guidance is to ensure licensed crowdfunding and peer-to-peer lending platforms understand their obligations when advertising or communicating with customers.
    Fair dealing in advertising and communications – crowdfunding and peer-to-peer lending

    https://fma.govt.nz/compliance/guidance-library/advertising-and-comms-in-crowdfunding-and-p2p/

    • FMC Act
    • Issuers and offers
    • Managed investments
    • Supervisors

    27 September 2017

    Guidance on substantial product holder disclosures

    This guidance is for: anyone who has, or may have, a substantial holding in a listed issuer, fund management firms and their employees and other interested parties. It aims to assist substantial product holders in understanding their obligations and help to promote consistency in disclosures.

    https://fma.govt.nz/compliance/guidance-library/guidance-on-substantial-product-holder-disclosures/

    • Managed investments

    19 July 2017

    Fee disclosure by managed funds

    This guidance helps managers and supervisors understand how fees should be disclosed in Product Disclosure Statements, fund updates and, in respect of KiwiSaver schemes, confirmation information. It includes guidance on the classification and disclosure of performance-based fees, management and administration charges, underlying fund charges, and how to use third-party information.

    https://fma.govt.nz/compliance/guidance-library/fee-disclosure-by-managed-funds/

    • Issuers and offers

    1 July 2017

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

    This is a guide for New Zealand and Australian issuers offering financial products or 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.
    Offering financial products in New Zealand and Australia under mutual recognition (MRSO)

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