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  1. 29 October 2021

    High-Risk Jurisdictions subject to a "Call for Action" – FATF

    This guidance is to assist reporting entities comply with the public statement issued by FATF on High-Risk Jurisdictions subject to a “Call for Action” and the subsequent Advisory issued by the Ministry of Justice and the New Zealand Police in this regard.
    Tags
    AML/CFT, Roles, Reporting entities, Business
    Type
    Page, Guidance

  2. 9 March 2021

    Australian Licensees Exemption Notice guidance

    This guidance note provides an overview of the exemption notice relating to Australian advice businesses giving advice to New Zealand retail clients, and the circumstances in which a business may be able to rely on it.
    Tags
    Financial Advice Provider, Roles, Financial Adviser, Financial Institutions, Business
    Type
    Page, Guidance

  3. 22 October 2015

    Custodians’ obligations

    This information sheet explains the difference between a broker and a custodian, custodians for wholesale and managed investment scheme (MIS) clients, and custodians’ statutory obligations. We also list examples of different custodial arrangements.
    Tags
    Client money or property services provider, Roles, Business
    Type
    Page, Guidance

  4. 1 August 2014

    When one-off or occasional issuers are required to register

    When one-off or occasional issuers are required to register information sheet clarifies when one-off or occasional issuers must register on the Financial Service Providers Register (FSPR) under the Financial Service Providers (Registration and Dispute Resolution) Act 2008 (in addition to any disclosure obligations that they may have under the Financial Markets Conduct Act 2013).
    Tags
    Offer information, Offer disclosure for equity and debt offers, Roles, Business
    Type
    Page, Guidance

  5. 1 December 2020

    Green bonds – same class exclusion

    This information sheet explains the circumstances in which an issuer can make an offer of green bonds under the same class exclusion. It also explains when the Financial Markets Authority (FMA) might consider granting an individual exemption to facilitate offers of green bonds with the same credit characteristics as quoted ‘vanilla’ bonds from the same issuer.
    Tags
    Offer information, Offer disclosure for equity and debt offers, Roles, Business
    Type
    Page, Guidance

  6. 30 September 2021

    Customer vulnerability – our expectations for providers

    This information sheet explains the FMA’s expectations for financial services firms to prioritise their customer vulnerability practices, focusing on areas we consider immediate priorities, updated Sept 2021.
    Tags
    Financial Advice Provider, Financial Adviser, Roles, Financial Institutions, Supervisors, Business, Managed investment schemes
    Type
    Page, Guidance

  7. 19 December 2014

    Response to submissions consultation paper personalised DIMS

    This paper summarises the submissions made on our Consultation paper: Personalised DIMS under the Financial Advisers Act 2008 (“the Act”) released on 19 November 2014.
    Tags
    Discretionary investment management scheme (DIMS), Consultations, Roles, Business
    Type
    Page, Paper, Guidance

  8. 1 September 2012

    Pre-prospectus publicity

    Pre-prospectus publicity guidance note 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
    Roles, Offer disclosure for equity and debt offers, Business
    Type
    Page, Guidance

  9. 17 December 2012

    Open letter to managers of collective schemes (CIS)

    Outsourcing of administration duties does not absolve the manager of a CIS from its obligations as a reporting entity under the Act. The FMA Open letter to managers of collective schemes (CIS) talks about the AML/CFT programme policies and procedures to manage any identified risks that outsoucing may present.
    Tags
    AML/CFT, Roles, Business
    Type
    Page, Guidance

  10. 1 May 2014

    New governance and accountability framework for restricted schemes and their trustees

    The Financial Markets Conduct (FMC) Act 2013 changes the governance and accountability framework for financial products. Find out what these changes mean for restricted schemes and their trustees in the New governance and accountability framework for restricted schemes and their trustees information sheet.
    Tags
    Independent trustee, Roles, Offer information, Offers of financial products, Business
    Type
    Page, Guidance

  11. 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

  12. 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

  13. 1 May 2014

    New governance and accountability framework for debt issuers 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 debt issuers and their licensed supervisors in the New governance and accountability framework for debt issuers and their licensed supervisors information sheet.
    Tags
    Offer disclosure for equity and debt offers, Supervisors, Roles, Business
    Type
    Page, Guidance