Guidance

Found 169 results. Displaying page 9 of 12

1. 1 February 2015

   Certification process for registration of new KiwiSaver, superannuation and workplace savings schemes

   FMA certification process for the registration of new KiwiSaver superannuation and workplace savings schemes information sheet outlines the process for getting a certificate from the FMA to apply for registration of a new KiwiSaver, superannuation or workplace savings scheme.
2. Guidance

   1 February 2015

   Reporting SIPO limit breaks

   Reporting SIPO limit breaks information sheet outlines the reporting obligations of a Managed Investment Scheme (MIS) manager if there has been a limit break under its Statement of Investment Policy and Objectives (SIPO) under Part 4 of the Financial Markets Conduct Act 2013 (FMC Act).
3. 19 December 2014

   Response to submissions consultation paper personalised DIMS

   This paper summarises the submissions made on our Consultation paper: Personalised DIMS under the Financial Advisers Act 2008 (“the Act”) released on 19 November 2014.
4. 1 December 2014

   Corporate debt issuers information sheet

   The Corporate debt issuers information sheet provides an overview of the transition to the FMC Act for Corporate debt issuers. It outlines a working example of the key activities and indicative timings for each step of the transition for Corporate debt issuers.
5. 1 December 2014

   Debt offers: continuous information sheet

   The Debt offers: continuous information sheet provides an overview of the transition to the FMA Act for a Debt offers – continuous. It outlines a working example of the key activities and indicative timings for each step of the transition.
6. 1 December 2014

   Debt offers: one off information sheet

   Debt Offers: one off, information Sheet Debt offers one-off outlines the transition of Debt offers one-off (Excluding banks and non-bank deposit takers) to FMC Act. It outlines a working example of the key activities and indicative timings for each step of the transition.
7. 1 December 2014

   Equity Issuers: continuous information sheet

   Equity Issuers: continuous information sheet provides information about the transition to FMC Act for equity issuers. It outlines a working example of the key activities and indicative timings for each step of the transition.
8. 1 December 2014

   Financial Advisers Act exemptions guidance note

   Financial Advisers Act exemptions guidance note updates the November 2010 guidance note issued by the (then) Securities Commission. The approach to FAA exemptions remains largely the same and the section on fees has also been updated.
9. 1 December 2014

   KiwiSaver: Managed investment schemes

   KiwiSaver: Managed investment schemes information sheet describes the transition to FMC Act for a KiwiSaver MIS. It outlines a working example of the key activities and indicative timings for each step of the transition.
10. Guidance

    1 December 2014

    Non-bank deposit takers (NBDTs)

    Non-bank deposit takers (NBDTs) information sheet describes the transition to the FMC Act for an NBDTs (Non bank deposit takers). It outlines a working example of the key activities and indicative timings for each step of the transition.
11. Guidance

    1 December 2014

    Other types: Managed investment schemes

    Other types: Managed investment schemes information sheet outlines a working example of the key activities and indicative timings for each step of the transition for a ‘other types’ of MIS. Other types of MIS includes a range of schemes, often tightly focused – eg property and forestry schemes. Note, excludes property and forestry schemes structured as companies (who are classed as equity issuers).
12. Guidance

    1 December 2014

    Quality financial reporting: how to improve financial statements

    Quality financial reporting: how to improve financial statements is a summary report on how to improve financial statements. It is intended for is for anyone involved in the preparation, audit and review of financial statements.
13. 1 December 2014

    Transition to FMC Act equity issuers: One-off

    Transition to FMC Act Equity Issuers one off Information Sheet
14. 1 December 2014

    Transition to the FMC Act equity issuers: Continuous or open offers

    Overview of transitional timeline for Corporate debt issuers (continuous or open offers)
15. 1 December 2014

    Unit Trusts: Managed investment schemes

    Transition to FMC Act Unit Trusts MIS Information Sheet