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Document Library

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

Found 1629 results. Displaying page 108 of 109

  1. 27 June 2011

    NZX Obligations Review 2011

    Under the FMC Act, we are required to review at least annually how well a licensed market operator is meeting its obligations, and to publish a written report. Broadly, these relate to the areas of operation that are regulatory in nature. Publishing the report provides transparency into our oversight of NZX. This report was published in 2011.

  6. 1 March 2011

    Good character and criminal convictions guidance note

    The guidance note 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.

  7. 1 March 2011

    AML/CFT Sector Risk Assessment 2011

    Our Sector Risk Assessment (SRA) helps us and the REs we supervise understand the risks of money-laundering (ML) and terrorism financing (TF) in each sector.

  9. 3 April 2008

    KiwiSaver performance fees and ethical fund guideline

    In general terms, the costs associated with an ethical fund are similar to the costs associated with a normal equity fund when bottom-up analysis is undertaken. Hence, for funds with similar asset profiles, the Government Actuary would expect the fee levels of ethical funds to be similar to the fee levels of non-ethical funds. However if a global overlay is used, it would be expected that the additional cost necessary for the additional services to be quantified.

  12. 1 October 2007

    KiwiSaver unreasonable fees guideline

    The Government objective for KiwiSaver is to establish a low cost work-based savings scheme. In general terms the KiwiSaver Act 2006 (“the Act”) expounds the principle that the fees should not be unreasonable and should reflect the services provided. This guideline was issued by the Government Actuary.