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  1. 4 April 2023

    Effective disclosure guidance

    This guidance note is for Issuers of securities under the Securities Act 1978 pursuant to the transitional provisions of the Financial Markets Conduct Act 2013. It is also for their directors and advisers. It gives guidance on the approach the Financial Markets Authority (FMA) intends to take in reviewing prospectuses and investment statements for compliance with the law.
    Tags
    Directors, Roles, Derivative Issuer, Business
    Type
    PDF, Guidance

  2. 26 May 2016

    Fee Disclosure For Managed Funds guidance

    This guidance helps managers and supervisors understand how fees should be disclosed in Product Disclosure Statements, fund updates and, in respect of KiwiSaver schemes, confirmation information. It includes guidance on the classification and disclosure of performance-based fees, management and
    administration charges, underlying fund charges, and how to use third-party information.
    Tags
    KiwiSaver providers, Roles, Business, Managed investment schemes
    Type
    PDF, Guidance

  3. 22 November 2019

    AML/CFT Supervisory framework

    FATF has issued a comprehensive plan of action needed to fight against anti-money laundering/countering financing of terrorism (AML/CFT). The objective of the framework is to protect the integrity of the financial sector.
    Tags
    AML/CFT, Reports and Papers, Roles, Business, News & Insights
    Type
    PDF

  5. 27 September 2017

    Substantial product holder disclosures guidance

    This guidance is for anyone who has a substantial holding in a listed issuer; Fund management firms and their employees. It aims to assist substantial product holders in understanding their obligations and help to promote consistency in disclosures.
    Tags
    Derivative Issuer, Roles, Business, Managed investment schemes
    Type
    PDF, Guidance

  6. 2 February 2017

    FMAs view of conduct guidance

    This guidance note is for: directors and executives of licensed
    financial services providers. The guide was published in 2017.
    Tags
    Financial Advice Provider, Conduct, Roles, Business
    Type
    PDF

  7. 16 July 2021

    Amended Identity Verification Code of Practice 2013

    This code of practice provides a suggested best practice for all reporting entities conducting name and date of birth identity verification on customers (that are natural persons) that have been assessed to be low to medium risk. Identification involves obtaining from the customer a range of information about him or her (“identity information”). Verification involves confirming some of that information against documents, data or information obtained from a reliable and independent source.
    Tags
    AML/CFT, Compliance, Roles, Reporting entities, Business
    Type
    PDF

  8. 1 July 2021

    AML/CFT Regulation 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.
    Tags
    AML/CFT, Directors, Regulation updates, Roles, Business
    Type
    PDF, Guidance

  9. 18 November 2019

    Audit quality Director's guide 2019

    The Audit Quality Directors Guide 2019 handbook is aimed at directors of FMCreporting entities. It sets out how you, as a director, can contribute to the quality of your audit, as well as what you can expect from the FMA and your auditor.
    Tags
    Directors, Roles, Auditors, Business
    Type
    PDF, Information Sheet

  10. 12 November 2020

    Audit Quality Director's Guide 2020

    The Audit Quality Directors Guide 2020 handbook is aimed at directors of FMCreporting entities. It sets out how you, as a director, can contribute to the quality of your audit, as well as what you can expect from the FMA and your auditor.
    Tags
    Directors, Roles, Auditors, Business
    Type
    PDF, Information Sheet

  11. 1 November 2011

    KiwiSaver performance fees guidance

    This guidance note is designed to provide the Managers and Trustees of KiwiSaver schemes with a basis on which they can determine whether any performance fees that are proposed to be charged, or are chanrged, either directly or indirectly to a member's investment in the Scheme can be considered "not reasonable".
    Tags
    KiwiSaver providers, Roles, Business, Managed investment schemes
    Type
    PDF, Guidance

  12. 23 June 2022

    Cyber Security and Operational Systems Resilience

    This information sheet assists market services licensees (excluding benchmark administrators) licensed under Part 6 of the Financial Markets Conduct Act 2013 (FMC Act) to enhance the resilience of their cyber and operational systems. While this information sheet is designed to apply to a broad range of sectors, entities with complex cyber security and operational systems should consider the specific technology requirements and obligations that apply to their sector.
    Tags
    Auditors, Roles, Financial market infrastructures, Financial Adviser, Financial Advice Provider, Offer disclosure for equity and debt offers, Discretionary investment management scheme (DIMS), Derivative Issuer, Directors, Cryptocurrencies, Crowdfunding providers, Client money or property services provider, Authorised body under a FAP, Business, Interposed persons under new financial advice regime, Managed investment schemes, Market operator, Peer-to-peer lending service providers
    Type
    Guidance, PDF

  13. 26 July 2019

    Guidance for foreign passport fund operators

    This guide is for foreign passport fund operators wanting to offer interests in regulated collective investment schemes (CIS) in New Zealand under the Asia Region Funds Passport regime.
    Tags
    Managed funds, FMC Act, Ways to invest, Investing, Legislation, Business, Consumer
    Type
    PDF, Guidance

  14. 1 September 2012

    Pre-prospectus publicity - some practical guidance for issuers and their advisers

    This guidance note is intended for issuers of securities, their directors and advisers. It sets out the Financial Markets Authority’s (FMA) view on the boundaries of pre-regulated offer publicity/advertising (also commonly referred to as ‘pre-prospectus publicity’), as required by the Securities Act 1978 (Act) and FMA’s policy on the scope of pre-prospectus publicity it will support by exemption.
    Tags
    Derivative Issuer, Offer disclosure for equity and debt offers, Roles, Business
    Type
    PDF, Guidance

  15. 17 April 2020

    Liquidity risk management - good practice guide

    The Financial Markets Authority (FMA) has published this good practice guide to provide Managers of Managed Investment Schemes (MIS Managers) with details of good practices for liquidity management and stress testing.
    We encourage the adoption of these practices in a manner suited to each individual fund/s.
    Tags
    KiwiSaver providers, Roles, Business, Managed investment schemes, Supervisor
    Type
    PDF