Back

Search results

Found 4106 results. Displaying page 231 of 274

  1. 16 July 2021

    Explanatory Note: Electronic Identity Verification Guideline July 2021

    This Explanatory Note: Electronic Identity verification Guideline replaces the previous Explanatory Note that was published by the Anti-Money Laundering and Countering Financing of Terrorism (AML/CFT) Supervisors in December 2017.
    Tags
    AML/CFT, Roles, Crowdfunding providers, Business
    Type
    Page, Guidance

  2. 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

  3. 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

  4. 1 December 2020

    Green bonds – same class exclusion

    This information sheet explains the circumstances in which an issuer can make an offer of green bonds under the same class exclusion. It also explains when the Financial Markets Authority (FMA) might consider granting an individual exemption to facilitate offers of green bonds with the same credit characteristics as quoted ‘vanilla’ bonds from the same issuer.
    Tags
    Offer information, Offer disclosure for equity and debt offers, Roles, Business
    Type
    Page, Guidance

  5. 30 September 2021

    Customer vulnerability – our expectations for providers

    This information sheet explains the FMA’s expectations for financial services firms to prioritise their customer vulnerability practices, focusing on areas we consider immediate priorities, updated Sept 2021.
    Tags
    Financial Advice Provider, Financial Adviser, Roles, Financial Institutions, Supervisors, Business, Managed investment schemes
    Type
    Page, Guidance

  6. 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

  7. 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

  8. 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

  9. 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

  10. 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

  12. 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

  13. 1 December 2014

    Other types: Managed investment schemes

    Other types: Managed investment schemes information sheet outlines a working example of the key activities and indicative timings for each step of the transition for a ‘other types’ of MIS. 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 are classed as equity issuers).
    Tags
    Roles, Business, Managed investment schemes, Supervisor
    Type
    Page, Guidance

  14. 1 May 2015

    New requirements for lawyers offering contributory mortgages

    Since 1 July 2014, all lawyers and incorporated law firms operating under the Exemption Notice have been required to register as a financial service provider on the financial service providers register. Read more in the New requirements for lawyers offering contributory mortgages information sheet.
    Tags
    Offer information, Business
    Type
    Page, Guidance

  15. 15 September 2023

    Cluncoin Earn – Imposter website

    We recommend exercising caution when dealing with Cluncoin Earn. It is offering investments and is not registered to provide financial services in New Zealand.
    Tags
    Imposter website, Investor warning, Consumer, Scams
    Type
    Page