Guidance

Found 169 results. Displaying page 8 of 12

1. Guidance

   2 February 2016

   Raising money from investors – a guide for community and voluntary organisations

   Raising money from investors – a guide for community and voluntary organisations information sheet outlines the options for community and voluntary organisations wanting to borrow money from investors. (This does not include donations).
2. 24 November 2015

   Guidance note on risk indicators and description of managed funds

   Guidance note on risk indicators and description of managed funds is for managers and supervisors of managed funds. It gives guidance on how to calculate risk indicators, when to update a PDS, how to describe a fund’s volatility, and in certain cases how to name your fund.
3. 22 October 2015

   Custodians’ obligations information sheet

   The Custodians' obligations information sheet outlines the obligations of custodians under the Financial Advisers (Custodians of FMCA Financial Products) Regulations 2014.
4. Guidance

   14 September 2015

   Research reports for IPOs under the Financial Markets Conduct Act 2013

   Research reports for IPOs information sheet discuss the availability of research reports about issuers on initial public offerings (IPOs). It is intended for issuers, research analysts and brokers.
5. 13 August 2015

   Market misconduct risks: a guide for MIS managers

   Market misconduct risks: a guide for MIS managers information sheet is to help Managed Investment Scheme (MIS) managers understand how to manage market misconduct risks in trading activity.
6. 26 June 2015

   Calculation of returns for DIMS providers

   The Calculation of returns for DIMS providers information sheet outlines what methodology we expect providers of Discretionary Investment Management Services (DIMS) licensed under the Financial Markets Conduct Act 2013 (Act) (DIMS licensees) to use when calculating returns required by the Financial Markets Conduct Regulations 2014 (Regulations).
7. Guidance

   1 May 2015

   New requirements for lawyers offering contributory mortgages

   Since 1 July 2014, all lawyers and incorporated law firms operating under the Exemption Notice have been required to register as a financial service provider on the financial service providers register. Read more in the New requirements for lawyers offering contributory mortgages information sheet.
8. 1 April 2015

   DIMS limit breaks under the FMC Act information sheet

   DIMS limit breaks under the FMC Act information sheet outlines the obligations of Discretionary Investment Management Services (DIMS) providers under the Financial Markets Conduct Act 2013 (FMC Act) relating to investment authority limits and reporting breaches of those limits.
9. 16 March 2015

   FMA contingency DIMS seminar - PowerPoint presentation

   FMA contingency DIMS seminar - PowerPoint presentation provides more information on: what is a DIMS, types of DIMS and decisions for AFA's currently authorised for DIMS.
10. 27 February 2015

    Issuers registers of regulated products and the FMA's discretion under section 224

    Issuers registers of regulated products and the FMA's discretion under section 224 information sheet outlines the requirements relating to issuers’ registers of regulated products under Subpart 4 of Part 4 of the Financial Markets Conduct Act 2013 (FMC Act).
11. 24 February 2015

    Custodians of managed investment schemes

    Custodians of managed investment schemes information sheet outline the duties and responsibilities under the Financial Markets Conduct Act 2013 (FMC Act) for custodians of registered managed investment schemes.
12. Guidance

    24 February 2015

    Related-party transactions under the Financial Markets Conduct Act 2013

    Related-party transactions under the Financial Markets Conduct Act 2013 information sheet outlines the rules on related-party transactions that apply to managed investment schemes under the Financial Markets Conduct Act 2013 (FMC Act).
13. 20 February 2015

    Content and form of Disclose register information

    Content and form of Disclose register information 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.
14. 20 February 2015

    Going Public - A Director's Guide

    The Going Public - A Director's Guide handbook is intended to help directors assess whether going public is the right choice for their company and to provide an insight into the process of becoming a public company.
15. 19 February 2015

    FMA DIMS seminar presentation

    The Christchurch DIMS Seminar powerpoint provides information about: What is a DIMS; when is it DIMS; when it's not DIMS; an example of DIMS; types of DIMS; contingency DIMS requirements, client agreements, investment authorities, what AFAs should do; DIMS that aren't Contingency DIMS; what is considered personalised or Class?,; decisions for AFAs currently authorised for DIMS; licensing action; tips and fees.