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  1. 1 December 2014

    Non-bank deposit takers (NBDTs)

    Non-bank deposit takers (NBDTs) information sheet describes the transition to the FMC Act for an NBDTs (Non bank deposit takers). It outlines a working example of the key activities and indicative timings for each step of the transition.
    Tags
    Roles, Auditors, Offer disclosure for equity and debt offers, Business, Supervisor
    Type
    Page, Guidance

  2. 1 March 2014

    Monitoring investment risk in KiwiSaver schemes

    Monitoring investment risk in KiwiSaver schemes guidance note is designed to assist Trustees of retail non-restricted KiwiSaver schemes (Trustees), in performing their functions effectively.
    Tags
    Supervisors, Roles, Business, Managed investment schemes
    Type
    Page, Guidance

  3. 1 May 2014

    MIS managers and their licensed supervisors

    The Financial Markets Conduct (FMC) Act 2013 changes the governance and accountability framework for financial products. Find out what these changes mean for managed investment scheme (MIS) managers and their licensed supervisors.
    Tags
    Roles, Business, Managed investment schemes, Supervisor
    Type
    Page, Guidance

  4. 14 September 2023

    Kiwi Term Deposits - Comparison website harvesting investor details

    We are concerned that Kiwi Term Deposits may be operating a scam. It operates a website claiming to offer consumers a way to compare and find the best term deposit and bond rates in New Zealand. It states that investments are “fully insured and asset backed by provider”. However, no such scheme is currently offered in New Zealand.
    Tags
    Suspected scam, Investor warning, Consumer, Scams
    Type
    Page

  7. 1 April 2015

    DIMS limit breaks under the FMC Act information sheet

    DIMS limit breaks under the FMC Act information sheet outlines the obligations of Discretionary Investment Management Services (DIMS) providers under the Financial Markets Conduct Act 2013 (FMC Act) relating to investment authority limits and reporting breaches of those limits.
    Tags
    Compliance, Discretionary investment management scheme (DIMS), Roles, Business
    Type
    Page, Guidance

  8. 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.’
    Tags
    Directors, Roles, Business
    Type
    Page, Financial reporting, Guidance

  9. 3 July 2018

    Disclosure of significant accounting estimates information sheet

    The Disclosure of significant account estimates information sheet explains our expectations on disclosure of significant accounting estimates. It is part of our work on improving the overall quality of information being disclosed in financial statements.
    Tags
    Compliance, Auditors, Directors, Roles, Business, FMA
    Type
    Page, Financial reporting, Guidance

  10. 1 April 2018

    Effective disclosure

    Effective disclosure guidance note was originally released in June 2012 and updated in 2014 to incorporate changes of the FMC Act. It is now no longer relevant.
    Tags
    Offer information, Business
    Type
    Page, Guidance

  11. 1 December 2014

    Financial Advisers Act exemptions guidance note

    Financial Advisers Act exemptions guidance note updates the November 2010 guidance note issued by the (then) Securities Commission. The approach to FAA exemptions remains largely the same and the section on fees has also been updated.
    Tags
    Financial advice, Independent trustee, Roles, Business, Consumer
    Type
    Page, Guidance, Financial reporting

  12. 1 August 2014

    Fair dealing provisions: Transitional arrangements for advertising information sheet

    Fair dealing provisions: Transitional arrangements for advertising information sheet is for Issuers and third parties who advertise in order to promote offers during the period 1 April 2014 to 30 November 2016 (‘transition period’) need to be aware of new FMC Act fair dealing provisions and how they apply.
    Tags
    Fair dealing, Roles, Offer disclosure for equity and debt offers, Crowdfunding providers, Business
    Type
    Page, Guidance

  13. 18 September 2023

    Jecbit Finance Limited – Unregistered, Imposter website

    We recommend caution when dealing with Jecbit Finance Limited. It offers forex and cryptocurrency investments but is not registered to provide financial services in New Zealand. It falsely claims to be a registered company in New Zealand, using the address, NZ Business Number (NZBN) and other business registration details of another company, JEC Finance Limited.
    Tags
    Imposter website, Investor warning, Consumer, Scams
    Type
    Page

  14. 20 September 2023

    ALPHA FIRST SECURITIES LIMITED

    ALPHA FIRST SECURITIES LIMITED (trading as Alpha First Mortgage Investments / Alpha First Securities) is an AML/CFT reporting entity.
    Tags
    Type
    Page

  15. 20 September 2023

    CREDENCE NZ LIMITED

    CREDENCE NZ LIMITED is an AML/CFT reporting entity.
    Tags
    Type
    Page