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Found 160 results. Displaying page 8 of 11

  1. 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).

  2. 17 December 2015

    Consultation paper Recognition of Overseas regimes proposed exemption relief

    This consultation is for: overseas issuers, overseas FMC reporting entities, their advisers and auditors. It aims to: test the appropriate level of disclosure, governance, financial reporting and audit relief required by overseas entities under the Financial Markets Conduct Act 2013.

  3. 5 November 2015

    Consultation paper charities debt securities exemption

    We are consulting on whether charities issuing debt securities should be subject to standard Financial Markets Conduct Act 2013 (FMC Act) obligations. The FMC Act requires organisations offering debt securities to disclose certain information and to have a licensed supervisor.

  4. 26 June 2015

    DIMS providers Calculation of returns for information sheet

    This 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).

  5. 4 April 2024

    Financial Markets Conduct Clearwater Golf Club Limited Exemption Notice 2024

    Clearwater Golf Club Limited (Clearwater) is exempted from Part 7 of the Financial Markets Conduct Act 2013 (the FMC Act). The Exemption Notice is subject to conditions which together replicate the financial reporting, auditing and annual reporting requirements under the Companies Act 1991.

  6. 30 March 2023

    Content and form of Disclose register information guidance

    This 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 2013. It gives guidance on matters the FMA recommends you consider when producing your register entry.

  7. 27 December 2017

    Identity Verification Code of Practice Explanatory Note

    The Amended Identity Verification Code of Practice 2013 (the code) clarified requirements for electronic identity verification following the implementation of the Electronic Identity Verification Act 2012 and the Identity Information Confirmation Act 2012. It replaced the previous Identity Verification Code of Practice 2011.

  8. 24 February 2015

    Reporting SIPO limit breaks Information sheet

    This 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).

  11. 8 April 2024

    Standard conditions for MIS

    If the FMA grants you a licence to act as a manager of a non-restricted and registered managed investment scheme (MIS manager licence), the licence will be subject to conditions set out in section 402 of the Financial Markets Conduct Act 2013 (FMC Act).

  12. 4 October 2023

    Guidance for keeping proper climate related disclosure records

    This guidance note is for entities that have climate-related disclosure obligations under Part 7A of the Financial Markets Conduct Act 2013. It is intended to help climate reporting entities (CREs) meet their statutory requirement to keep proper climate-related disclosure records at all times.

  13. 30 September 2023

    Consultation paper proposed guidance on scheme wind ups

    FMA is considering guidance for Supervisors and (where there is no Supervisor) Managers of registered schemes on the requirements in section 212 (Initial steps in winding up of registered scheme) and section 213 (Winding-up report) of the Financial Markets Conduct Act 2013 (FMC Act).

  14. 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.

  15. 1 December 2014

    FMA's review of market disclosures

    This report was first published by the Financial Markets Authority (FMA) in June 2013 and discusses disclosure obligations under the SMA. These disclosure obligations now fall under the FMC Act and are largely unchanged, therefore the findings and observations contained in this report remain relevant.