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  1. 31 July 2017

    Offering securities in New Zealand and Australia under mutual recognition

    The Offering securities in New Zealand and Australia under mutual recognition guide explains what issuers have to do under the trans-Tasman mutual recognition scheme when making financial product offers in Australia and New Zealand.
    Tags
    Offer information, Business
    Type
    Page, Guidance

  2. 1 November 2018

    Determining whether you are acquiring a business or assets guidance

    This guidance sets out our view of what constitutes a ‘business’ for these purposes, as opposed to an asset. It also sets out additional information issuers should consider disclosing for asset acquisitions.
    Tags
    FMC Act, Offer information, Legislation, Business
    Type
    PDF, Guidance

  3. 1 September 2014

    Governance under Part 4 of the FMC Act guidance

    This guidance note is for Issuers of debt securities, managers of investment schemes and their supervisors. It gives guidance on the expectations of the FMA on your approach to governance and accountability responsibilities that apply to Part 4 of the FMC Act 2015.
    Tags
    Governance, Offer disclosure for equity and debt offers, Roles, Business, FMA, Managed investment schemes, Supervisor
    Type
    PDF, Guidance

  4. 3 April 2008

    KiwiSaver performance fees and ethical fund guideline

    In general terms, the costs associated with an ethical fund are similar to the costs associated with a normal equity fund when bottom-up analysis is undertaken. Hence, for funds with similar asset profiles, the Government Actuary would expect the fee levels of ethical funds to be similar to the fee levels of non-ethical funds. However if a global overlay is used, it would be expected that the additional cost necessary for the additional services to be quantified.
    Tags
    Roles, Business, Managed investment schemes
    Type
    PDF, Guidance

  5. 1 October 2007

    KiwiSaver unreasonable fees guideline

    The Government objective for KiwiSaver is to establish a low cost work-based savings scheme. In general terms the KiwiSaver Act 2006 (“the Act”) expounds the principle that the fees should not be unreasonable and should reflect the services provided. This guideline was issued by the Government Actuary.
    Tags
    KiwiSaver providers, Roles, Business, Managed investment schemes
    Type
    PDF, Guidance

  6. 1 December 2014

    Exemptions under Financial Advisers Act 2008 guidance

    This guidance note explains the our approach to granting exemptions under the Financial Advisers Act 2008. It is intended to provide answers to commonly asked questions in relation to exemptions and to provide information to potential applicants on the process for making an application.
    Tags
    Financial Adviser, Auditors, Directors, Exemptions, Roles, Business, Supervisor
    Type
    PDF

  7. 6 July 2015

    Risk indicators and descriptions of managed funds draft guidance

    In December 2014 we consulted on guidance for calculating risk indicators. After consultations, feedback and subsequent discussions with businesses who have been involved in producing draft product disclosure statements, we believe it would be useful to extend that guidance note to cover additional related matters.
    Tags
    Consultations, Business
    Type
    PDF, Guidance

  12. 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

  14. 1 November 2018

    Determining whether you are acquiring a business or assets guidance

    This guidance sets out our view of what constitutes a ‘business’ for these purposes, as opposed to an asset. It also sets out additional information issuers should consider disclosing for asset acquisitions.
    Tags
    FMC Act, Offer information, Legislation, Business
    Type
    PDF, Guidance

  15. 16 July 2018

    Exemption from the market index requirement guidance

    This guidance note aims to clarify what we expect of MIS managers in relation to the market index requirement for quarterly fund updates.
    Tags
    Roles, Business, Managed investment schemes
    Type
    PDF, Guidance