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  1. 15 February 2018

    Designation of certain shares in investment companies as managed investment products

    Designation of certain shares to MIPs information sheet explains the class notice which designates certain shares in investment companies as managed investment products, and the company which issues them as a managed investment scheme.
    Tags
    Roles, Business, Managed investment schemes, Supervisor
    Type
    Page, Guidance

  2. 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

  3. 28 February 2018

    Corporate governance in New Zealand: Principles and guidelines

    The Corporate governance in New Zealand: Principles and guidelines handbook assists directors, executives and advisers of non-listed and public-sector companies, and other entities, to apply corporate governance principles to their particular entity.
    Tags
    Directors, Roles, Business
    Type
    Page, Guidance

  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.
    Tags
    FMC Act, Legislation, Business
    Type
    Page, Guidance

  8. 3 February 2023

    Reasonable grounds for financial advice about financial products

    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
    Page, Guidance

  9. 16 October 2022

    Climate risks and the impact on financial statement audits

    This document provides clarity for auditors about the expectations for information about climate risks in audit files.
    Tags
    Climate related disclosure, Auditors, Roles, Ethical finance, Authorised body under a FAP, Climate Reporting Entities, Business, Managed investment schemes, Supervisor
    Type
    Page, Guidance

  10. 8 July 2022

    Approach to oversight of financial statements

    In this document we provide a summary of our main work in monitoring compliance with financial reporting obligations by FMC reporting entities and registered schemes (regulated entities) from 2022-2025.
    Tags
    Auditors, Directors, Roles, Climate related disclosure, Climate Reporting Entities, Business
    Type
    Page, Financial reporting, Guidance

  11. 9 July 2021

    AML/CFT regulations update 2021

    New Zealand’s Anti-Money Laundering and Countering Financing of Terrorism (AML/CFT) system is intended to adapt as money laundering and terrorism financing risks evolve. Two regulations, that are a key part of the AML/CFT system, were due to expire. These are the AML/CFT (Exemptions) Regulations 2011 which were scheduled to expire on 30 June 2020, and the AML/CFT (Definitions) Regulations 2011 which partially expire on 27 July 2021. This document sets out the changes and updates made for these regulations. These changes come into force 9 July 2021.
    Tags
    AML/CFT, Regulation updates, Roles, Business, Nominated representatives
    Type
    Page, Guidance

  12. 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

  13. 10 December 2020

    Providing overseas firms’ research reports to retail clients

    Research reports produced by overseas firms may be distributed by New Zealand advice firms to their retail clients. This information sheet discusses how this will be regulated under the Financial Markets Conduct Act 2013 (FMC Act) from 15 March 2021.
    Tags
    Financial Advice Provider, Roles, Business
    Type
    Page, Guidance

  14. 29 October 2021

    High-Risk Jurisdictions subject to a "Call for Action" – FATF

    This guidance is to assist reporting entities comply with the public statement issued by FATF on High-Risk Jurisdictions subject to a “Call for Action” and the subsequent Advisory issued by the Ministry of Justice and the New Zealand Police in this regard.
    Tags
    AML/CFT, Roles, Reporting entities, Business
    Type
    Page, Guidance

  15. 13 October 2021

    Advertising offers of financial products under the FMC Act

    Guidance on the Financial Markets Authority’s expectations in respect of advertising financial products under the Financial Markets Conduct Act 2013
    Tags
    Cryptocurrencies, Financial Institutions, Independent trustee, Financial Adviser, Financial Advice Provider, Discretionary investment management scheme (DIMS), Derivative Issuer, Crowdfunding providers, Client money or property services provider, Authorised body under a FAP, Roles, Offer information, Fair dealing, Directors, Business, Interposed persons under new financial advice regime, Managed investment schemes, Peer-to-peer lending service providers
    Type
    Page, Guidance