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  1. 1 December 2014

    Exemptions: Financial Advisers Act 2008 guidance note

    This guidance note explains the approach of the Financial Markets Authority (the FMA) to granting exemptions under the Financial Advisers Act 2008. It is intended to provide answers to commonly asked questions in relation to exemptions and to provide information to potential applicants on the process for making an application.
    Tags
    Type
    PDF, Guidance

  2. 10 October 2017

    Bank Bill Benchmark Rate and closing rates resource sheet

    This resource sheet explains how BKBM and closing rates operate and are regulated in New Zealand. It is aimed at local bank staff involved in trading activity or oversight of trading activity.
    Tags
    Banking, Roles, Business, Market operator
    Type
    PDF, Guidance

  3. 1 February 2014

    Broker Obligations guidance note

    The focus of this guidance is on custody of client money and client property, and the key obligation of brokers to hold client money and client property on trust.
    Tags
    Obligations, Client money or property services provider, Roles, Business
    Type
    PDF, Guidance

  4. 15 December 2022

    AML/CFT Designated Business Group – Formation and Change Guideline

    This guideline 2022 is designed to help reporting entities forming a designated business group (DBG) to understand the process for doing so. Entities may form a DBG if they are eligible to do so under the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (the AML/CFT Act) and associated regulations.
    Tags
    AML/CFT, Obligations, Roles, Business, Designated Business Group (DBG)
    Type
    PDF, Guidance

  5. 9 August 2019

    Guidance on Expired Passports as Identification for Customer Due Diligence

    The AML/CFT supervisors have become aware of the need for clear guidance on the use of expired passports as part of Customer Due Diligence procedures and how it relates to the
    Amended Identity Verification Code of Practice 2013 (‘the code’).
    Tags
    AML/CFT, Roles, Reporting entities, Business
    Type
    PDF, Guidance

  6. 9 July 2021

    AML/CFT - New regulation for nominee directors and nominee general partners

    Reporting entities will be expected to comply with the new regulation as soon as possible from 9 July 2021. However, in recognition that reporting entities will need to amend their processes and procedures (and potentially systems), a transitional compliance period will apply until 29 April 2022.
    Tags
    AML/CFT, Roles, Reporting entities, Business
    Type
    PDF, Guidance

  7. 23 June 2023

    Proposed guidance and expectations for keeping proper climate-related disclosure records

    This PROPOSED 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) to meet their statutory requirement to keep proper climate-related disclosure records at all times.
    Tags
    Authorised body under a FAP, Banking, Insurance Providers, Climate related disclosure, Financial Institutions, Roles, Climate Reporting Entities, Business, Managed investment schemes
    Type
    PDF, Guidance

  8. 13 April 2021

    KiwiSaver performance fees guidance note

    This guidance note updated in 2021 is intended for the managers and supervisors of KiwiSaver schemes. It sets out the criteria against which the Financial Markets Authority (FMA) will assess the reasonableness of performance fees.
    Tags
    KiwiSaver providers, Roles, Business, Managed investment schemes, Supervisor
    Type
    PDF, Guidance

  9. 1 November 2015

    Risk indicators and description of managed funds - guidance note

    This guidance 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.
    Tags
    KiwiSaver providers, Roles, Business, Managed investment schemes, Supervisor
    Type
    PDF, Guidance

  10. 2 February 2023

    Reasonable grounds for financial advice about financial products - guidance

    Guidance on the FMA’s approach to applying and enforcing Code Standard 3 of the Code of Professional Conduct for Financial Advice Services, in relation to financial advice about financial products purchased for investment purposes.
    Tags
    Financial Advice Provider, Financial Adviser, Roles, Business, Nominated representatives
    Type
    PDF

  11. 1 July 2010

    Review of Corporate Governance Disclosure by Selected Issuers

    This 2010 report presents the findings of the Securities Commission’s review of corporate governance reporting. The purpose of this report is to inform governing bodies of our findings so that they can reflect critically on their governance practices and disclosures. In so doing, we aim to promote high standards of corporate governance by issuers and ultimately improve confidence in New Zealand’s capital markets. The report was published in 2010.
    Tags
    Governance, Reports and Papers, Derivative Issuer, Roles, Directors, Business, FMA, News & Insights
    Type
    PDF

  12. 10 August 2012

    Inquiries, Investigations and Enforcement Report 2012

    This report summarizes the key issues and themes arising from inquiries, investigations and enforcement acitivity of the FMA during the 2011-12 financial year
    Tags
    Reports and Papers, News & Insights, Enforcement
    Type
    PDF, Report

  13. 5 July 2019

    Statement on the Kiwi Access Card

    Part 1, Section 2 of the amended Identity Verification Code of Practice 2013 (IVCOP) currently refers to the older 18+ card as an example of secondary or supporting form of photographic identification, which is to be used in conjunction with a form of primary nonphotographic identification such as a birth certificate in order to meet the standard set by the IVCOP.
    Tags
    AML/CFT, Regulation updates, Roles, Business
    Type
    PDF

  14. 1 February 2013

    FMA's Compliance Focus for 2013

    This document outlines the Financial Markets Authority’s (FMA’s) priority areas for monitoring and surveillance in
    2013. It provides an opportunity for participants to assess their activities and take steps to improve behaviours and
    compliance controls in these areas.
    Tags
    Compliance, Reports and Papers, Business, FMA, News & Insights
    Type
    PDF

  15. 1 February 2014

    Investor experience of IPOs - research report

    This document explores attitudes towards investing in New Zealand’s financial markets, understand the experience of investing in New Zealand’s financial markets, understand the
    impact of offer documentation on investment decisions, and additionally, this research aims to provide profiling information on New Zealand investors. February 2014
    Tags
    Reports and Papers, Business, News & Insights
    Type
    PDF, Research