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  1. 29 February 2016

    How performance-based fees should be disclosed

    How performance-based fees should be disclosed is an information sheet that outlines how we expect fund managers to disclose performance-based fees to investors.
    Tags
    Roles, Business, Managed investment schemes, Supervisor
    Type
    Page, Information Sheet, Guidance

  2. 1 September 2014

    Governance under part 4 of the FMC Act

    Governance under part 4 of the FMC Act guidance note is for issuers of debt securities, managers of managed investment schemes and their supervisors. It gives guidance on the expectations FMA has for your approach to the governance responsibilities and accountabilities that apply under Part 4 of the Financial Markets Conduct Act 2013.
    Tags
    Offer disclosure for equity and debt offers, Roles, Business, Managed investment schemes, Supervisor
    Type
    Page, Guidance

  3. 9 August 2019

    Guidance on Expired Passports as Identification for CDD

    Guidance on Expired Passports as Identification for CDD issues guidance to AML/CFT supervisors using an expired passport to verify a person’s name and date of birth. This may only be part of an exception handling procedure, and not in the ‘normal course of business.’
    Tags
    AML/CFT, Roles, Business
    Type
    Page, Guidance

  4. 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

  5. 1 April 2014

    FMA's new role as regulator of conduct

    FMA's new role as regulator of conduct information sheet talks to the FMA replacing the Commerce Commission as the primary regulator of conduct in relation to financial products and services from 1 April 2014.
    Tags
    FMC Act, Legislation, Business, FMA
    Type
    Page, Guidance

  6. 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

  7. 13 April 2023

    Fundrock NZ Limited

    Fundrock NZ Limited is an AML reporting entity
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  8. 13 April 2023

    Fundrock NZ Limited

    Fundrock NZ Limited, FSP127464, is a licensed Managed Investment Scheme Manager.
    Tags
    Licensed entity, Roles, Reporting entities, Business, Managed investment schemes
    Type
    Page

  9. 13 April 2023

    Fundrock NZ Limited DBG

    Fundrock NZ Limited DBG including: Fundrock NZ Limited and InvestNow Saving and Investment Services Limited
    Tags
    AML/CFT, Roles, Reporting entities, Business, Designated Business Group (DBG)
    Type
    Page

  10. 24 January 2023

    FMA publishes 2022 annual report

    Our 2022 annual report details a year that encompassed four main areas of focus for the regulator: monitoring and oversight of financial market participants; preparations for new financial markets legislation; building investor capability; and enforcement activity.
    Tags
    Media release, News & Insights
    Type
    Page, Annual report, Corporate publications

  11. 26 January 2021

    ASX 24 derivatives market review released

    The Financial Markets Authority (FMA) has published the findings of its obligations review of the ASX 24 derivatives market for the period of 1 July 2018 to 30 June 2020.
    Tags
    Compliance, Derivatives, Ways to invest, Investing, Roles, Media release, Business, Consumer, Market operator, News & Insights
    Type
    Page

  12. 3 March 2023

    Consultation: AML/CFT Act - Draft regulations public consultation

    Consultation published by The Ministry of Justice (the Ministry) on proposed changes to regulations made under the Anti-Money Laundering and Countering Financing of Terrorism Act (AML/CFT Act). Consultation closed on 14 April 2023.
    Tags
    Consultations, AML/CFT, Legislation, Roles, Business
    Type
    Page

  13. 22 June 2021

    MIS liquidity risk management review

    This report contains recommendations on liquidity stress testing frameworks, processes and procedures, following the August 2020 self-assessment survey completed by regulated entities for a two-year period ending 31 December 2019. It will be useful for directors, senior management and investment personnel of managed investment schemes.
    Tags
    Roles, KiwiSaver providers, Business, Managed investment schemes, Supervisor
    Type
    PDF, Report

  14. 21 April 2023

    2023 FMA Annual Letter of Expectations

    Letter of expectations delivered by the Minister to the FMA for the 2023/24 period.
    Tags
    Annual letter of expectations from the Minister, FMA
    Type
    PDF

  15. 15 March 2021

    Guide to Product Disclosure Statements

    FMA guide to product disclosure statements for investors.
    Tags
    Bonds, Derivatives, Managed funds, Shares, Ways to invest, Investing, Article, Consumer, News & Insights
    Type
    Page