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Document Library

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

Found 1593 results. Displaying page 78 of 107

  5. 1 June 2016

    Auditor regulation and oversight plan 2016 2019

    Audits of FMC reporting entities’ financial statements are designed to increase investor confidence. One of the ways we ensure these audits are done well is by reviewing audits at registered audit firms. This plan is for the 2016-2019 period.

  6. 1 June 2016

    Factors influencing insurance policy survival

    In our study of what factors influence policy survival, we used the Cox proportional hazard model to identify key factors. We found that commission structure was consistently the most significant factor influencing policy survival rates and, within the commission structure, clawback was a major factor.

  7. 1 June 2016

    Investor Confidence Research 2016

    This is the fourth year that FMA has carried out investor research measuring attitudes towards, and investment in New Zealand’s financial markets.

  10. 26 May 2016

    Fee Disclosure For Managed Funds guidance

    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.

  11. 19 May 2016

    Licensing guide - MIS managers of forestry schemes

    This guide supplements Part B of our licensing application guides. It explains to businesses providing a managed investment scheme (MIS) service of a forestry scheme how to approach their licence application under the Financial Markets Conduct Act 2013 (FMC Act).

  12. 19 May 2016

    FMA legislative notices supporting the FMC Act

    To support businesses implementing the Financial Markets Conduct Act 2013 (FMC Act), the FMA has been working, in consultation with the sector, on various legislative tools such as exemptions, frameworks, methodologies, public accountability notices, and designations to help businesses and individuals comply with the Act.

  13. 17 May 2016

    Consultation: Class exemption for property schemes

    Consultation to address the specific characteristics of property schemes (MIS) that recognises that full compliance with some specific requirements may be unnecessary and overly burdensome.

  14. 17 May 2016

    Exemption notice - some property schemes

    The FMA believes that property schemes generally can and should comply with the same licensing and governance requirements under the FMC Act as other managed investment schemes (MIS). However given the characteristics of property schemes, we recognise that full compliance with some specific requirements may be unnecessary, and the cost is likely to outweigh benefits for investors. As a result, we have approved class exemptions for property schemes and their custodians to address these matters.