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Found 3727 results. Displaying page 45 of 249

  1. 26 September 2018

    FADC decisions published

    The Financial Advisers Disciplinary Committee (FADC) has released its decision in two cases brought by the FMA.
    Tags
    Governance, Media release, Cases, FMA, News & Insights, Enforcement
    Type
    Page

  3. 26 February 2018

    FMA statement on the death of Rob Cameron

    The FMA would like to express its condolences to the family and colleagues of Rob Cameron, who died late last week.
    Tags
    Media release, News & Insights
    Type
    Page

  5. 20 July 2021

    Offer disclosure for equity and debt offers

    Issuers are involved in first making a financial product available. The FMC Act has requirements for financial product offer information. See those requirements, financial reporting obligations, accountability framework for managed investment schemes and debt securities on this page.
    Tags
    Compliance, Offer disclosure for equity and debt offers, Obligations, FMC Act, Roles, Legislation, Business
    Type
    Page

  6. 5 December 2013

    FMA Progress Review - Stakeholder Feedback Report

    This report is the result of a review conducted by Oliver Wyman focusing on stakeholder perspectives on achievements, short-comings and future priorities for New Zealand’s Financial Markets Authority.
    Tags
    Reports and Papers, FMA, News & Insights
    Type
    Page

  7. 19 May 2016

    Licensing guide for MIS managers of forestry schemes

    Licensing guide for MIS managers of forestry schemes guide supplements Part B of our licensing application guides. It explains to businesses providing a managed investment scheme (MIS) service of a forestry scheme how to approach their licence application under the Financial Markets Conduct Act 2013 (FMC Act).
    Tags
    Roles, Business, Managed investment schemes, Supervisor
    Type
    Page, Guidance

  8. 13 August 2015

    Market misconduct risks: a guide for MIS managers

    Market misconduct risks: a guide for MIS managers information sheet is to help Managed Investment Scheme (MIS) managers understand how to manage market misconduct risks in trading activity.
    Tags
    Roles, Business, Managed investment schemes, Supervisor
    Type
    Page, Guidance

  9. 27 February 2015

    Issuers registers of regulated products and the FMA's discretion under section 224

    Issuers registers of regulated products and the FMA's discretion under section 224 information sheet outlines the requirements relating to issuers’ registers of regulated products under Subpart 4 of Part 4 of the Financial Markets Conduct Act 2013 (FMC Act).
    Tags
    Offer disclosure for equity and debt offers, Roles, Business
    Type
    Page, Guidance

  10. 3 April 2008

    KiwiSaver guideline no.KSGN2: Performance fees and ethical fund fees

    The purpose of KiwiSaver guideline no.KSGN2: Performance fees and ethical fund fees is to provide general guidance on how the Government Actuary will view fees to be charged directly to a KiwiSaver Scheme.
    Tags
    Roles, Business, Managed investment schemes, Supervisor
    Type
    Page, Guidance

  11. 1 October 2007

    KiwiSaver guideline no.KSGN1: Unreasonable fees

    KiwiSaver guideline no.KSGN1: Unreasonable fees guidance note provides general guidance on how the Government Actuary will view fees to be charged directly to a KiwiSaver Scheme.
    Tags
    Roles, Business, Managed investment schemes, Supervisor
    Type
    Page, Guidance

  12. 2 July 2016

    How to complete your annual AML/CFT report: A quick guide to help small financial adviser businesses

    How to complete your annual AML/CFT report: A quick guide to help small financial adviser businesses has been prepared for authorised financial advisers and small financial adviser businesses that come under Regulation 16 of the Anti-Money Laundering and Countering Financing of Terrorism (Definitions) Regulations 2011 (regulations).
    Tags
    AML/CFT, Roles, Financial Advice Provider, Financial Adviser, Business
    Type
    Page, Guidance

  13. 27 September 2017

    Guidance on substantial product holder disclosures

    Guidance on substantial product holder disclosures is for anyone who has, or may have, a substantial holding in a listed issuer, fund management firms and their employees and other interested parties. It aims to assist substantial product holders in understanding their obligations and help to promote consistency in disclosures.
    Tags
    Offer information, Roles, Offer disclosure for equity and debt offers, Business
    Type
    Page, Guidance, Financial reporting

  14. 22 December 2016

    How the FMC Act will affect co-operative companies and industrial and provident societies that have issued, or intend to issue, co-operative shares

    How the FMC Act will affect co-operative companies and industrial and provident societies that have issued, or intend to issue, co-operative shares information sheet outlines the options for co-operative companies and industrial and provident societies (IPSs) (collectively referred to as co-operatives) offering and managing co-operative shares.
    Tags
    Client money or property services provider, Independent trustee, Roles, Business
    Type
    Page, Guidance

  15. 24 November 2015

    Guidance note on risk indicators and description of managed funds

    Guidance note on risk indicators and description of managed funds 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
    Roles, Business, Managed investment schemes, Supervisor
    Type
    Page, Guidance