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  1. 11 April 2017

    Consultation paper Improving financial information in an equity PDS

    This consultation is for issuers, their advisors, investors and other interested parties. It aims to seek feedback on our proposed guidance and interpretations of the regulations.
    Tags
    Derivative Issuer, Discretionary investment management scheme (DIMS), Consultations, Roles, Business, Managed investment schemes
    Type
    PDF

  2. 20 February 2023

    CoFI ID consultation feedback form

    This consultation feedback form relates to the proposed guidance that outlines our expectations when financial institutions are distributing products and services through intermediaries, under the CoFI regime.
    Tags
    Banking, Consultations, Insurance Providers, Conduct of Financial Institutions Bill (CoFI), Financial Institutions, Business
    Type
    Word document, Feedback form

  3. 1 August 2014

    Fair dealing provisions transitional arrangements for advertising information sheet

    The fair dealing provisions relating to “financial products” and “financial services” make it an offence to engage in misleading or deceptive conduct in relation to financial products or to make false, misleading or unsubstantiated representations about financial products.
    Tags
    Fair dealing, Derivative Issuer, Offer disclosure for equity and debt offers, Roles, Business
    Type
    PDF, Information Sheet

  4. 22 October 2015

    Custodians obligations information sheet

    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
    Obligations, Client money or property services provider, Roles, Business
    Type
    PDF, Information Sheet

  6. 24 February 2015

    Custodians of managed investment schemes information sheet

    This information sheet outlines 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, Managed investment schemes
    Type
    PDF, Information Sheet

  8. 1 December 2014

    Information Sheet Debt offers one off

    Overview of timeline for debt offers transitioning to the FMC Act.
    Tags
    Offer disclosure for equity and debt offers, Roles, Business
    Type
    PDF, Information Sheet

  13. 1 December 2014

    Transition to fmc act other types mis information sheet

    Timeline for other types of MIS to transition to the FMC Act. Other types of MIS includes a range of schemes, often tightly focused – eg property and forestry schemes. Note, excludes property and forestry schemes structured as companies (who generallyare classed as equity issuers).
    Tags
    FMC Act, Roles, Legislation, Business, Managed investment schemes, Supervisor
    Type
    PDF