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Found 632 results. Displaying page 19 of 43

  1. 1 November 2013

    Changes ahead for Financial Reporting - FMA Fact Sheet

    The Financial Reporting Bill currently before Parliament is going to change the reporting requirements for all ‘Financial Markets Conduct (FMC) Reporting Entities’.
    Tags
    Type
    Page, Financial reporting, Guidance

  2. 22 October 2015

    Custodians’ obligations information sheet

    The Custodians' obligations information sheet outlines the obligations of custodians under the Financial Advisers (Custodians of FMCA Financial Products) Regulations 2014.
    Tags
    Client money or property services provider, Roles, Business
    Type
    Page, Guidance

  3. 1 December 2014

    Debt offers: one off information sheet

    Debt Offers: one off, information Sheet Debt offers one-off outlines the transition of Debt offers one-off (Excluding banks and non-bank deposit takers) to FMC Act. It outlines a working example of the key activities and indicative timings for each step of the transition.
    Tags
    Offer information, FMC Act, Legislation, Business
    Type
    Page, Guidance

  4. 1 December 2014

    Corporate debt issuers information sheet

    The Corporate debt issuers information sheet provides an overview of the transition to the FMC Act for Corporate debt issuers. It outlines a working example of the key activities and indicative timings for each step of the transition for Corporate debt issuers.
    Tags
    FMC Act, Legislation, Business
    Type
    Page, Guidance

  5. 24 February 2015

    Custodians of managed investment schemes

    Custodians of managed investment schemes information sheet outline the duties and responsibilities under the Financial Markets Conduct Act 2013 (FMC Act) for custodians of registered managed investment schemes.
    Tags
    Client money or property services provider, Roles, Business
    Type
    Page, Guidance

  6. 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
    Financial Advice Provider, Roles, Business
    Type
    Page, Guidance

  7. 8 July 2022

    Approach to oversight of financial statements

    In this document we provide a summary of our main work in monitoring compliance with financial reporting obligations by FMC reporting entities and registered schemes (regulated entities) from 2022-2025.
    Tags
    Auditors, Directors, Roles, Climate related disclosure, Climate Reporting Entities, Business
    Type
    Page, Financial reporting, Guidance

  8. 10 December 2020

    Providing overseas firms’ research reports to retail clients

    Research reports produced by overseas firms may be distributed by New Zealand advice firms to their retail clients. This information sheet discusses how this will be regulated under the Financial Markets Conduct Act 2013 (FMC Act) from 15 March 2021.
    Tags
    Financial Advice Provider, Roles, Business
    Type
    Page, Guidance

  9. 7 May 2019

    Code of Professional Conduct for Financial Advice Services

    The Code of Professional Conduct for Financial Advice Services is prepared in accordance with Part 4 of Schedule 5 of the Financial Markets Conduct Act 2013 (the FMC Act). The Code supports the purposes of the FMC Act including promoting the confident and informed participation of businesses, investors, and consumers in the financial markets, avoiding unnecessary compliance costs, and ensuring the availability and quality of financial advice.
    Tags
    Financial Advice Provider, Conduct, Roles, Business
    Type
    Page, Guidance

  10. 16 June 2021

    Financial advice given for the purpose of complying with lender responsibilities

    This information sheet explains the circumstances that may exclude a lender from some Financial Markets Conduct Act 2013 (FMC Act) obligations related to financial advice. The exclusion applies only in relation to consumer credit contracts and certain credit-related insurance contracts.
    Tags
    Financial Advice Provider, Financial Adviser, Roles, Financial Institutions, Business
    Type
    Page, Guidance

  11. 24 May 2017

    Licensing overview report 2017

    This report aims to Outline how we applied a flexible approach to applications and explain how the minimum standards and FMC Act eligibility criteria fit together, plus more.
    Tags
    Licensing & registration, Reports and Papers, Business, News & Insights
    Type
    Page, Report

  12. 1 February 2015

    Reporting SIPO limit breaks

    Reporting SIPO limit breaks information sheet outlines the reporting obligations of a Managed Investment Scheme (MIS) manager if there has been a limit break under its Statement of Investment Policy and Objectives (SIPO) under Part 4 of the Financial Markets Conduct Act 2013 (FMC Act).
    Tags
    Roles, Business, Managed investment schemes, Supervisor
    Type
    Page, Guidance

  13. 18 June 2014

    Quick guide to licence applications for small businesses providing DIMS

    Quick guide to licence applications for small businesses providing DIMS supplements our main licensing application guide. It outlines how a small business providing lower risk Discretionary Investment Management Services (DIMS) can approach an application for a DIMS licence under the Financial Markets Conduct Act 2013 (FMC Act)..
    Tags
    Discretionary investment management scheme (DIMS), Licensing & registration, Roles, Business
    Type
    Page, Guidance

  14. 13 March 2018

    Self-select retirement schemes – information for scheme managers

    Self-select retirement schemes information sheet explains how these schemes are regulated under the Financial Markets Conduct Act 2013 (FMC Act) and what exemptions and waivers may be available.
    Tags
    Roles, Business, Managed investment schemes, Supervisor
    Type
    Page, Guidance, Information Sheet

  15. 24 February 2015

    Related-party transactions under the Financial Markets Conduct Act 2013

    Related-party transactions under the Financial Markets Conduct Act 2013 information sheet outlines the rules on related-party transactions that apply to managed investment schemes under the Financial Markets Conduct Act 2013 (FMC Act).
    Tags
    Roles, Supervisors, Business, Managed investment schemes
    Type
    Page, Guidance