Guidance

Found 169 results. Displaying page 7 of 12

1. 27 September 2017

   Guidance on substantial product holder disclosures

   Guidance on substantial product holder disclosures is for anyone who has, or may have, a substantial holding in a listed issuer, fund management firms and their employees and other interested parties. It aims to assist substantial product holders in understanding their obligations and help to promote consistency in disclosures.
2. Guidance

   1 August 2017

   Offering financial products in New Zealand and Australia under mutual recognition (MRSO)

   Offering financial products in New Zealand and Australia under mutual recognition (MRSO) guide is for New Zealand and Australian issuers offering financial products or interests in managed or collective investment schemes in both countries.
3. Guidance

   31 July 2017

   Offering securities in New Zealand and Australia under mutual recognition

   The Offering securities in New Zealand and Australia under mutual recognition guide explains what issuers have to do under the trans-Tasman mutual recognition scheme when making financial product offers in Australia and New Zealand.
4. 19 July 2017

   Fee disclosure by managed funds guidance

   Fee disclosure by managed funds 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.
5. 13 July 2017

   Disclosing non-GAAP financial information guidance note

   Disclosing non-GAAP financial information guidance note describse financial information outside of financial statements that is not prepared and presented in accordance with generally accepted accounting practice (GAAP), or is presented as an alternative to statutory profit, as ‘non-GAAP financial information.’
6. 8 March 2017

   KiwiSaver sales and advice

   KiwiSaver sales and advice guidance note outlines our view on what advisers or providers of KiwiSaver should talk to investors about, types of advice and the use of customer incentives.
7. Conduct

   Business

   2 February 2017

   A guide to the FMA's view of conduct

   A guide to FMA's view of conduct guide describes why good conduct matters and how high standards of conduct support fair, efficient and transparent markets. This handbook is intended as a reference for directors, executives and advisers to decide how best to apply the principles for corporate governance to their particular entity.
8. 22 December 2016

   How the FMC Act will affect co-operative companies and industrial and provident societies that have issued, or intend to issue, co-operative shares

   How the FMC Act will affect co-operative companies and industrial and provident societies that have issued, or intend to issue, co-operative shares information sheet outlines the options for co-operative companies and industrial and provident societies (IPSs) (collectively referred to as co-operatives) offering and managing co-operative shares.
9. 15 November 2016

   How the FMC Act will affect companies and incorporated societies that manage communal facilities

   How the FMC Act will affect companies and incorporated societies that manage communal facilities information sheet describes how the FMC Act will affect companies and incorporated societies that manage communal facilities.
10. Crowdfunding Service Provider

    Business

    2 August 2016

    Crowdfunding services for property investments – meeting the eligibility criteria

    Crowdfunding services for property investments – meeting the eligibility criteria, information sheet is designed to help crowdfunding services offering property investment (‘property crowdfunding’) meet the eligibility criteria for a licensed crowdfunding service in New Zealand.
11. 2 July 2016

    How to complete your annual AML/CFT report: A quick guide to help small financial adviser businesses

    How to complete your annual AML/CFT report: A quick guide to help small financial adviser businesses has been prepared for authorised financial advisers and small financial adviser businesses that come under Regulation 16 of the Anti-Money Laundering and Countering Financing of Terrorism (Definitions) Regulations 2011 (regulations).
12. 19 May 2016

    Licensing guide for MIS managers of forestry schemes

    Licensing guide for MIS managers of forestry schemes 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).
13. 31 March 2016

    Guide for peer-to-peer lending services on publishing default rate information

    Guide for peer-to-peer lending services on publishing default rate information guide contains information to help peer-to-peer licensees understand and meet the minimum licensing standard to publish default rate information.
14. 29 February 2016

    How performance-based fees should be disclosed

    How performance-based fees should be disclosed is an information sheet that outlines how we expect fund managers to disclose performance-based fees to investors.
15. 29 February 2016

    How to calculate 0% PIR returns

    How to calculate 0% PIR returns information sheet sets out the formula we expect managers of portfolio investment entity (PIE) funds to use when calculating a fund’s return with a 0% prescribed investor rate.