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Found 3699 results. Displaying page 140 of 247

  1. 8 March 2017

    KiwiSaver sales and advice

    KiwiSaver sales and advice guidance note outlines our view on what advisers or providers of KiwiSaver should talk to investors about, types of advice and the use of customer incentives.
    Tags
    Roles, Business, Managed investment schemes, Supervisor
    Type
    Page, Guidance

  2. 27 June 2018

    Improving financial statements

    Improving financial statements monitoring report summarises the findings from our thematic review to determine the extent of improvements in the presentation of financial statements in a clear, concise and effective way, and sets out some suggestions for additional improvement.
    Tags
    Directors, Roles, Auditors, Business
    Type
    Page, Financial reporting, Guidance

  3. 15 May 2018

    Improving financial information in an equity PDS

    Improving financial information in an equity PDS guidance is to assist issuers and their professional advisers in understanding the FMA’s expectations on certain aspects of the financial information section.
    Tags
    Offer information, Offer disclosure for equity and debt offers, Roles, Business
    Type
    Page, Guidance

  4. 1 March 2010

    KiwiSaver distribution and disclosure

    KiwiSaver distribution and disclosure provides technical guidance to KiwiSaver issuers and managers. It sets out FMA's expectations of them in the promotion and distribution of their schemes.
    Tags
    Roles, Business, Managed investment schemes, Supervisor
    Type
    Page, Guidance

  5. 1 December 2014

    KiwiSaver: Managed investment schemes

    KiwiSaver: Managed investment schemes information sheet describes the transition to FMC Act for a KiwiSaver MIS. It outlines a working example of the key activities and indicative timings for each step of the transition.
    Tags
    Roles, Business, Managed investment schemes, Supervisor
    Type
    Page, Guidance

  7. 1 March 2011

    Good character and criminal convictions: Financial Advisers Act 2008

    Good character and criminal convictions: Financial Advisers Act 2008 guide is intended to answer some of the queries the Commission has received regarding the assessment of good character, as well as provide further guidance on the information applicants need to provide to the Commission in relation to criminal convictions.
    Tags
    Financial Adviser, Roles, Business
    Type
    Page, Guidance

  8. 1 November 2013

    Future of financial markets - FMA market update

    Future of financial markets - FMA market update. This document explains how the Financial Markets Authority (FMA) has worked on rebuilding market and investor confidence over the two year period following the global financial crisis, and the failure of finance companies.
    Tags
    Regulation updates, Business, FMA
    Type
    Page, Guidance

  9. 1 October 2014

    Getting the best outcome from your AML/CFT audit

    Getting the best outcome from your AML/CFT audit is intended to help our reporting entities, especially small financial adviser businesses, get value from their audit.
    Tags
    AML/CFT, Roles, Reporting entities, Business
    Type
    Page, Guidance

  10. 18 April 2018

    General stocktake of fund updates

    General stocktake of fund updates lets investors know important information about their managed fund, such as how it is performing, what it is costing them, and what their fund is investing in. By law, they must follow a standard format designed to make it easy to compare funds and be understood by non-expert investors.
    Tags
    Roles, Business, Managed investment schemes, Supervisor
    Type
    Page, Guidance

  11. 19 February 2015

    FMA DIMS seminar presentation

    The Christchurch DIMS Seminar powerpoint provides information about: What is a DIMS; when is it DIMS; when it's not DIMS; an example of DIMS; types of DIMS; contingency DIMS requirements, client agreements, investment authorities, what AFAs should do; DIMS that aren't Contingency DIMS; what is considered personalised or Class?,; decisions for AFAs currently authorised for DIMS; licensing action; tips and fees.
    Tags
    Discretionary investment management scheme (DIMS), Roles, Business
    Type
    Page, Guidance

  12. 16 March 2015

    FMA contingency DIMS seminar - PowerPoint presentation

    FMA contingency DIMS seminar - PowerPoint presentation provides more information on: what is a DIMS, types of DIMS and decisions for AFA's currently authorised for DIMS.
    Tags
    Discretionary investment management scheme (DIMS), Roles, Business
    Type
    Page, Guidance

  13. 15 March 2023

    Fake bond offer - esgbonds-nz.com / HSBCnz.com

    NZ residents have been approached by individuals claiming to be from HSBC New Zealand and offering an “HSBC New Zealand ESG Bond” with Fake PDS emailed from the esgbonds-nz.com and hsbcnz.com domains.
    Tags
    Suspected scam, Investor warning, Consumer, Scams
    Type
    Page

  14. 1 November 2014

    Financial regulation and registration requirements for marinas

    Financial regulation and registration requirements for marinas information sheet provides information on how the Financial Markets Conduct Act 2013 (FMC Act) changes the way interests in marinas are regulated. Marinas will generally not be regulated under the FMC Act and will no longer need to register on the Financial Service Providers Register.
    Tags
    Regulation updates, Business
    Type
    Page, Guidance

  15. 30 September 2021

    AML/CFT Monitoring Report

    AML/CFT Monitoring Report summarises the FMA's monitoring activities to help firms and individuals better understand our expectations.
    Tags
    AML/CFT, Compliance, Directors, Roles, Monitoring, Reporting entities, Reports and Papers, Business, News & Insights
    Type
    Page, Report