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  1. 14 September 2015

    Research reports for IPOs under the Financial Markets Conduct Act 2013

    Research reports for IPOs information sheet discuss the availability of research reports about issuers on initial public offerings (IPOs). It is intended for issuers, research analysts and brokers.
    Tags
    Offer information, Offer disclosure for equity and debt offers, Roles, Offers of financial products, Business
    Type
    Page, Guidance

  2. 2 February 2016

    Raising money from investors – a guide for community and voluntary organisations

    Raising money from investors – a guide for community and voluntary organisations information sheet outlines the options for community and voluntary organisations wanting to borrow money from investors. (This does not include donations).
    Tags
    Offer information, Roles, Independent trustee, Client money or property services provider, Business
    Type
    Page, Guidance

  3. 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

  4. 1 November 2014

    Statements of investment policy and objectives (SIPO) under the FMC Act

    This guidance note outlines the expectations the Financial Markets Authority (FMA) has for your approach to preparing statements of investment policy and objectives (SIPOs) under Part 4 of the Financial Markets Conduct Act 2013 (FMC Act).
    Tags
    Roles, Business, Managed investment schemes, Supervisor
    Type
    Page, Guidance

  5. 1 October 2014

    Reporting duties under Part 4 of the FMC Act

    Reporting duties under Part 4 of the FMC Act information sheet outlines the new reporting duties under the Financial Markets Conduct Act 2013 (FMC Act) for debt issuers, managers of managed investment schemes, supervisors, auditors, investment managers, administration managers, custodians and actuaries.
    Tags
    Client money or property services provider, Offer disclosure for equity and debt offers, Roles, Business, Managed investment schemes, Supervisor
    Type
    Page, Financial reporting, Guidance

  6. 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

  7. 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, Managed Investment Schemes, Supervisors, Business
    Type
    Page, Guidance

  8. 1 August 2017

    Offering financial products in New Zealand and Australia under mutual recognition (MRSO)

    Offering financial products in New Zealand and Australia under mutual recognition (MRSO) guide is for New Zealand and Australian issuers offering financial products or interests in managed or collective investment schemes in both countries.
    Tags
    Offer information, Offer disclosure for equity and debt offers, Roles, Offers of financial products, Managed Investment Schemes, Business
    Type
    Page, Guidance

  9. 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

  10. 14 September 2023

    Kiwi Term Deposits - Comparison website harvesting investor details

    We are concerned that Kiwi Term Deposits may be operating a scam. It operates a website claiming to offer consumers a way to compare and find the best term deposit and bond rates in New Zealand. It states that investments are “fully insured and asset backed by provider”. However, no such scheme is currently offered in New Zealand.
    Tags
    Suspected scam, Investor warning, Consumer, Scams
    Type
    Page

  11. 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

  14. 1 November 2018

    Determining whether you are acquiring a business or assets guidance

    Determining whether you are acquiring a business or assets 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
    Directors, Roles, Business
    Type
    Page, Guidance

  15. 1 April 2015

    DIMS limit breaks under the FMC Act information sheet

    DIMS limit breaks under the FMC Act information sheet outlines the obligations of Discretionary Investment Management Services (DIMS) providers under the Financial Markets Conduct Act 2013 (FMC Act) relating to investment authority limits and reporting breaches of those limits.
    Tags
    Compliance, Discretionary investment management scheme (DIMS), Roles, Business
    Type
    Page, Guidance