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  1. 1 August 2014

    Creation of new unit trusts during transition period

    Creation of new unit trusts during transition period information sheet responds to queries by market participants about the ability to create new unit trust schemes under the Unit Trusts Act 1960 between 1 December 2014 and 30 November 2015.
    Tags
    FMC Act, Legislation, Business
    Type
    Page, Guidance

  2. 20 October 2022

    Thematic review of use of the wholesale investor exclusion

    Findings from the FMA’s thematic review of wholesale offers of financial products, along with guidance for offerors and those who provide confirmation for eligible investor certificates.
    Tags
    Fair dealing, Offer information, Offer disclosure for equity and debt offers, Roles, Offers of financial products, Reports and Papers, Managed Investment Schemes, Supervisors, Business, News & Insights
    Type
    Page, Guidance

  3. 14 September 2023

    Pallas Group DBG

    Pallas Group includes Pallas Capital Limited FSP1004241, Pallas Trustees Limited FSP1004322, and Pallas Commercial Lending Limited FSP1004240.
    Tags
    Reporting entities, Roles, Business, Designated Business Group (DBG)
    Type
    Page

  4. 23 June 2023

    Climate-related Disclosures Monitoring Plan 2023-2026

    The FMA’s approach to monitoring the compliance of climate reporting entities with their legislative requirements and reporting obligations for the climate-related disclosures regime.
    Tags
    Authorised body under a FAP, Banking, Compliance, Insurance Providers, Climate related disclosure, Financial Institutions, Roles, Climate Reporting Entities, Business, Managed investment schemes, News & Insights
    Type
    Page, Guidance

  5. 23 June 2023

    Climate-related disclosures regime and the use of third-party providers

    Guidance to assist climate reporting entities in understanding what they should consider before engaging a third-party provider to deliver services for the climate-related disclosures.
    Tags
    Authorised body under a FAP, Banking, Insurance Providers, Climate related disclosure, Financial Institutions, Roles, Climate Reporting Entities, Business, Managed investment schemes, News & Insights
    Type
    Page, Guidance

  6. 23 June 2022

    Cyber security and operational systems resilience

    This information sheet assists market services licensees (excluding benchmark administrators) licensed under Part 6 of the Financial Markets Conduct Act 2013 (FMC Act) to enhance the resilience of their cyber and operational systems. While this information sheet is designed to apply to a broad range of sectors, entities with complex cyber security and operational systems should consider the specific technology requirements and obligations that apply to their sector.
    Tags
    Financial Advice Provider, Roles, Business
    Type
    Page, Guidance

  7. 28 January 2021

    Market Operator Obligations Targeted Review – NZX

    Findings from the FMA’s targeted review of whether NZX is meeting its licensed market operator obligations
    Tags
    Reports and Papers, Roles, Business, Market operator, News & Insights
    Type
    Page

  8. 10 December 2021

    Outsourcing CDD to a third-party provider

    Section 34 of the AML/CFT Act allows a reporting entity to authorise and rely on an agent to conduct CDD procedures on its behalf. An agent is a person that has legal authority to represent another party. If you outsource the above CDD procedures under section 34 to a third-party provider, the provider must be acting as your agent. In these circumstances, you remain responsible for ensuring that the CDD conducted by the third-party provider is undertaken to the level required by the AML/CFT Act. Read the full guidance on this page.
    Tags
    AML/CFT, Client money or property services provider, Crowdfunding providers, Cryptocurrencies, Financial Adviser, Roles, Business
    Type
    Page, Guidance

  9. 17 November 2021

    Climate-related disclosures regime implementation approach

    This document explains the Climate-related Disclosures (CRD) legislation and outlines the Financial Markets Authority’s implementation approach for the CRD regime.
    Tags
    Directors, Roles, Ethical finance, Climate related disclosure, Authorised body under a FAP, Financial Institutions, Climate Reporting Entities, Business, FMA, Managed investment schemes, Supervisor
    Type
    Page, Guidance

  10. 16 December 2020

    Complying with the prohibition on the notice of trusts on registers

    This information sheet explains the FMA’s expectations in regards to how issuers of regulated products can comply with the prohibition on the notice of trusts being entered on the register that is required to be kept by the issuer.
    Tags
    Roles, Offers of financial products, Derivative Issuer, Business
    Type
    Page, Guidance

  11. 13 September 2018

    The essentials of being a director

    This guide is intended to provide company directors and prospective directors with a quick reference and overview of some of the key things they should think about.
    Tags
    Directors, Roles, Business
    Type
    Page, Guidance

  12. 1 December 2020

    Green bonds – same class exclusion

    This information sheet explains the circumstances in which an issuer can make an offer of green bonds under the same class exclusion. It also explains when the Financial Markets Authority (FMA) might consider granting an individual exemption to facilitate offers of green bonds with the same credit characteristics as quoted ‘vanilla’ bonds from the same issuer.
    Tags
    Offer information, Offer disclosure for equity and debt offers, Roles, Business
    Type
    Page, Guidance

  13. 30 September 2021

    Customer vulnerability – our expectations for providers

    This information sheet explains the FMA’s expectations for financial services firms to prioritise their customer vulnerability practices, focusing on areas we consider immediate priorities, updated Sept 2021.
    Tags
    Financial Advice Provider, Financial Adviser, Roles, Financial Institutions, Supervisors, Business, Managed investment schemes
    Type
    Page, Guidance

  14. 24 May 2017

    Licensing overview report 2017

    This report aims to Outline how we applied a flexible approach to applications and explain how the minimum standards and FMC Act eligibility criteria fit together, plus more.
    Tags
    Licensing & registration, Reports and Papers, Business, News & Insights
    Type
    Page, Report

  15. 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.
    Tags
    Discretionary investment management scheme (DIMS), Consultations, Roles, Business
    Type
    Page, Paper, Guidance