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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 135 results. Displaying page 5 of 7

    • FMC Act

    1 November 2014

    Financial regulation and registration requirements for marinas

    The Financial Markets Conduct Act 2013 (FMC Act) changes the way interests in marinas are regulated. Marinas will generally not be regulated under the FMC Act and will no longer need to register on the Financial Service Providers Register.
    141101 Financial regulation and registration requirements for marinas information sheet

    https://fma.govt.nz/compliance/guidance-library/financial-regulation-and-registration-requirements-for-marinas/

    • FMC Act

    1 October 2014

    Reporting duties under Part 4 of the FMC Act

    This information sheet outlines the new reporting duties under the Financial Markets Conduct Act 2013 (FMC Act) for debt issuers, managers of managed investment schemes, supervisors, auditors, investment managers, administration managers, custodians and actuaries.
    141001 Reporting duties under Part 4 of the FMC Act Information Sheet and Table

    https://fma.govt.nz/compliance/guidance-library/reporting-duties-under-part-4-of-the-fmc-act/

    • Issuers and offers

    1 August 2014

    When one-off or occasional issuers are required to register

    This information sheet clarifies when one-off or occasional issuers must register on the Financial Service Providers Register (FSPR) under the Financial Service Providers (Registration and Dispute Resolution) Act 2008 (in addition to any disclosure obligations that they may have under the Financial Markets Conduct Act 2013).
    140801 When one off or occasional issuers are required to register information sheet

    https://fma.govt.nz/compliance/guidance-library/when-one-off-or-occasional-issuers-are-required-to-register/

    • Crowdfunding
    • P2P lending
    • archive

    1 August 2014

    Fair dealing provisions: Transitional arrangements for advertising

    Issuers and third parties who advertise in order to promote offers during the period 1 April 2014 to 30 November 2016 (‘transition period’) need to be aware of new FMC Act fair dealing provisions and how they apply.
    140801 Fair dealing provisions – transitional arrangements for advertising information sheet

    https://fma.govt.nz/compliance/guidance-library/fair-dealing-provisions-transitional-arrangements-for-advertising/

    • FMC Act
    • Issuers and offers

    1 May 2014

    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.
    140501 New governance and accountability framework for debt issuers and their licensed supervisors

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

    • Supervisors

    1 May 2014

    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.
    140501 New governance and accountability framework for debt issuers and their licensed supervisors

    https://fma.govt.nz/compliance/guidance-library/new-governance-and-accountability-framework-for-debt-issuers-and-their-licensed-supervisors-3/

    • KiwiSaver and superannuation
    • Supervisors

    1 May 2014

    New governance and accountability framework for restricted schemes and their trustees

    The Financial Markets Conduct (FMC) Act 2013 changes the governance and accountability framework for financial products. Find out what these changes mean for restricted schemes and their trustees.
    140501 New governance and accountability framework for restricted schemes and their trustees

    https://fma.govt.nz/compliance/guidance-library/new-governance-and-accountability-framework-for-restricted-schemes-and-their-trustees-2/