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Document Library

A filtered search by topic for all guidance, reports or research documents stored on the FMA website.

Found 1690 results. Displaying page 9 of 113

  11. 8 April 2024

    Standard Conditions for DIMS

    DIMS standard conditions, updated April 2024 explains the systems and procedures to maintain relevant records pertaining to your market service and the records you must provide to the FMA to enable us to monitor your on- going capability to effectively perform the DIMS in accordance with the applicable eligibility criteria in the Act.

  12. 8 April 2024

    Standard conditions for MIS

    If the FMA grants you a licence to act as a manager of a non-restricted and registered managed investment scheme (MIS manager licence), the licence will be subject to conditions set out in section 402 of the Financial Markets Conduct Act 2013 (FMC Act).

  13. 4 April 2024

    Financial Markets Conduct Clearwater Golf Club Limited Exemption Notice 2024

    Clearwater Golf Club Limited (Clearwater) is exempted from Part 7 of the Financial Markets Conduct Act 2013 (the FMC Act). The Exemption Notice is subject to conditions which together replicate the financial reporting, auditing and annual reporting requirements under the Companies Act 1991.