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  1. 28 July 2022

    Integrated financial products: Review of managed fund documentation

    Findings from a Financial Markets Authority review of the effectiveness of disclosure information from a sample of managed investment funds labelled or marketed as being integrated financial products (e.g. sustainable, ethical, green)
    Tags
    Ethical finance, Roles, Reports and Papers, Business, Managed investment schemes, News & Insights, Supervisor
    Type
    Page

  2. 18 May 2022

    Findings from MIS manager Value For Money self-assessment tool pilot

    The FMA’s 2021 guidance on managed fund fees and value for money introduces an expectation for Managed Investment Scheme (MIS) managers to carry out regular reviews of scheme fees and whether customers are receiving value for money.
    Tags
    Reports and Papers, Roles, Business, Managed investment schemes, News & Insights, Supervisor
    Type
    Page

  4. 23 June 2023

    Climate-related Disclosures Monitoring Plan 2023-2026

    The FMA’s approach to monitoring the compliance of climate reporting entities with their legislative requirements and reporting obligations for the climate-related disclosures regime.
    Tags
    Authorised body under a FAP, Banking, Compliance, Insurance Providers, Climate related disclosure, Financial Institutions, Roles, Climate Reporting Entities, Business, Managed investment schemes, News & Insights
    Type
    Page, Guidance

  5. 28 January 2021

    Market Operator Obligations Targeted Review – NZX

    Findings from the FMA’s targeted review of whether NZX is meeting its licensed market operator obligations
    Tags
    Reports and Papers, Roles, Business, Market operator, News & Insights
    Type
    Page

  6. 23 June 2021

    MIS liquidity risk management review

    Recommendations on liquidity stress testing frameworks, processes and procedures for managed investment schemes (MIS).
    Tags
    Roles, Business, Managed investment schemes, Supervisor
    Type
    Page, Guidance

  7. 17 November 2021

    Climate-related disclosures regime implementation approach

    This document explains the Climate-related Disclosures (CRD) legislation and outlines the Financial Markets Authority’s implementation approach for the CRD regime.
    Tags
    Directors, Roles, Ethical finance, Climate related disclosure, Authorised body under a FAP, Financial Institutions, Climate Reporting Entities, Business, FMA, Managed investment schemes, Supervisor
    Type
    Page, Guidance

  8. 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

  9. 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

  10. 1 June 2013

    Securities trustees and statutory supervisors monitoring

    Securities trustees and statutory supervisors monitoring guidance note is for licensed securities trustees and statutory supervisors. It sets out the Financial Market Authority’s (FMA) expectations of how they will carry out their monitoring functions effectively.
    Tags
    Independent trustee, Roles, Supervisors, Business
    Type
    Page, Guidance

  11. 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

  12. 1 April 2018

    Effective disclosure

    Effective disclosure guidance note was originally released in June 2012 and updated in 2014 to incorporate changes of the FMC Act. It is now no longer relevant.
    Tags
    Offer information, Business
    Type
    Page, Guidance

  13. 1 December 2014

    Financial Advisers Act exemptions guidance note

    Financial Advisers Act exemptions guidance note updates the November 2010 guidance note issued by the (then) Securities Commission. The approach to FAA exemptions remains largely the same and the section on fees has also been updated.
    Tags
    Financial advice, Independent trustee, Roles, Business, Consumer
    Type
    Page, Guidance, Financial reporting

  14. 20 September 2023

    KiwiSaver 2023 – Holding firm as contributions feature

    Opinion piece from Stuart Johnson, FMA Chief Economist following the release of the KiwiSaver Annual Report 2023.
    Tags
    KiwiSaver providers, Opinion, Managed Investment Schemes, Roles, Business, Managed investment schemes, News & Insights, Supervisor
    Type
    Page

  15. 20 September 2023

    KiwiSaver holds firm through volatility and reaches $94BN in March 2023

    The FMA’s latest KiwiSaver Annual report for the year to 31 March shows that KiwiSaver has held firm through a continuing period of market volatility. Total funds in KiwiSaver have grown again this year, by $4 billion, due to contributions of $10.5bn from members, employers, and government.
    Tags
    Media release, News & Insights
    Type
    Page