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Issuers and offers

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  1. 1 July 2017

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

    Offering financial products in New Zealand and Australia under mutual recognition (MRSO)
    Updated July 2017

    This is a joint guide produced in partnership with Australian Securities and Investments Commission (ASIC). It is for NZ and Australian issuers who offer financial products in both countries. This includes interests in managed or collective investment schemes. The guide explains what issuers have to do under the trans-Tasman mutual recognition scheme when making financial product offers in Australia and New Zealand.

    The guide has been updated to clarify how documents and information are lodged with the New Zealand Companies Office on the Disclose Register.

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

  2. 22 December 2016

    How the FMC Act will affect co-operative companies and industrial and provident societies that have issued, or intend to issue, co-operative shares

    161222 How the FMC Act will affect co operative companies and industrial and provident societies that have issued or intend to issue co operative shares

    https://fma.govt.nz/compliance/guidance-library/issuers-and-offers/how-the-fmc-act-will-affect-co-operative-companies-and-industrial-and-provident-societies-that-have-issued-or-intend-to-issue-co-operative-shares/

  3. 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.

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

  4. 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

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