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Found 6278 results. Displaying page 324 of 419

  1. 1 July 2017

    Offering financial products in New Zealand and Australia under mutual recognition - regulatory guide

    This is a guide for New Zealand and Australian issuers offering financial products or interests in managed or collective investment schemes in both countries.
    It explains what issuers have to do under the trans-Tasman mutual recognition scheme for offers of financial products.
    This is a joint guide published by the Australian Securities and Investments Commission (ASIC) and the New Zealand Financial Markets Authority (FMA).
    Tags
    Roles, Business, Managed investment schemes
    Type
    PDF, Guidance

  2. 1 November 2015

    Risk indicators and description of managed funds - guidance note

    This guidance 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
    KiwiSaver providers, Roles, Business, Managed investment schemes, Supervisor
    Type
    PDF, Guidance

  3. 2 February 2023

    Reasonable grounds for financial advice about financial products - guidance

    Guidance on the FMA’s approach to applying and enforcing Code Standard 3 of the Code of Professional Conduct for Financial Advice Services, in relation to financial advice about financial products purchased for investment purposes.
    Tags
    Financial Advice Provider, Financial Adviser, Roles, Business, Nominated representatives
    Type
    PDF

  4. 15 May 2018

    Improving financial information in an Equity PDS - guidance

    This 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 disclosure for equity and debt offers, Roles, Business
    Type
    PDF, Guidance

  5. 18 March 2022

    Impact of Russia Sanctions on AML/CFT reporting entities

    An update from the three AML/CFT Act supervisors to reporting entities on what is required of them under the Russia Sanctions Act 2022.
    Tags
    AML/CFT, Legislation, AML/CFT act 2009, Roles, Business
    Type
    PDF

  8. 30 June 2015

    User Guide: Annual AML/CFT Report

    The annual report is required by section 60 of New Zealand’s Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (‘the Act’). The annual report applies to
    activities that are covered by the Act.
    Tags
    AML/CFT, Roles, Reporting entities, Business
    Type
    PDF, Report

  9. 20 April 2016

    Using behavioural insights to improve financial capability

    This paper is a practical reference for government and industry. It aims to be a source of ideas to encourage use of behaviourally focused approaches that help consumers make better decisions, and a lens to gauge whether these approaches are likely to work
    Tags
    Investor capability, FMA
    Type
    PDF, Paper

  11. 10 April 2018

    Product disclosure statements: understanding investors’ information needs

    The purpose of this report is to help issuers and their advisers think about how they can make disclosure information more useful for investors. In the report we summarise feedback from investors about how they use disclosure information.
    Tags
    Reports and Papers, News & Insights
    Type
    PDF

  13. 29 November 2017

    Key audit matters - A stock take of the first year in New Zealand

    The purpose of this publication is to provide a stock take of the New Zealand experience in the first year of adopting the revised auditor’s report, specifically focussing on the reporting of key audit matters (KAMs).
    Tags
    Reports and Papers, Auditors, Roles, Business, News & Insights
    Type
    PDF

  14. 6 April 2023

    Peer-to-Peer lending and Crowdfunding: sector snapshot

    Crowdfunding and Peer-to-Peer sector report for the 2022 period.
    Tags
    Crowdfunding providers, Reports and Papers, Roles, Business, News & Insights, Peer-to-peer lending service providers
    Type
    PDF

  15. 1 July 2020

    Derivatives Issuer Sector Risk Assessment

    This sector risk assessment summarises the key risks posed by licensed Derivatives Issuers (DIs) to the FMA’s objective of promoting fair, efficient and transparent financial markets. It is based on a self-assessment completed by DIs, as well as our interactions with DIs and their clients since FMC Act licensing began.
    Tags
    Reports and Papers, Derivative Issuer, Roles, Business, News & Insights
    Type
    PDF