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  2. 18 June 2014

    Licensing guide - small DIMS businesses

    This guide 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).

  3. 15 March 2023

    FAP licences Classes of financial advice service

    The FMA specifies three licence classes for financial advice providers (FAP): Class 1, Class 2 and Class 3. See section 395(2) of the Financial Markets Conduct Act 2013 as amended by the Financial Services legislation Amendment Act 2019 (FMC Act). Licence classes apply to the manner in which regulated financial advice may be provided but do not limit the types of financial advice that may be provided under the licence, as the latter is addressed by the competency requirements in the Code of Professional Conduct for Financial Advice Services.

  4. 27 March 2024

    Exemption Notice Silverwood Land 2015 Limited Partnership 2024

    The scheme has some remaining real estate assets that it seeks to sell. The scheme is the subject of the Financial Markets Conduct (Silverwood Land 2015 Limited Partnership) Exemption Notice 2021, which is revoked on the close of 31 March 2024.

  5. 12 June 2023

    Exemption notice - Fonterra capital return

    The exemption Notice exempts Fonterra Co-operative Group Limited (Fonterra) from Part 3 of the Financial Markets Conduct Act 2013 (the FMC Act), in relation to a capital return and contemporaneous share subdivision, pursuant to a court-approved scheme of arrangement.

  6. 19 May 2016

    Licensing guide - MIS managers of forestry schemes

    This guide supplements Part B of our licensing application guides. It explains to businesses providing a managed investment scheme (MIS) service of a forestry scheme how to approach their licence application under the Financial Markets Conduct Act 2013 (FMC Act).

  7. 17 December 2015

    Consultation paper Recognition of Overseas regimes proposed exemption relief

    This consultation is for: overseas issuers, overseas FMC reporting entities, their advisers and auditors. It aims to: test the appropriate level of disclosure, governance, financial reporting and audit relief required by overseas entities under the Financial Markets Conduct Act 2013.

  8. 5 November 2015

    Consultation paper charities debt securities exemption

    We are consulting on whether charities issuing debt securities should be subject to standard Financial Markets Conduct Act 2013 (FMC Act) obligations. The FMC Act requires organisations offering debt securities to disclose certain information and to have a licensed supervisor.

  9. 19 March 2024

    Licensing application guide - Crowd funding PART B1

    Your guide to applying for a market service licence under the Financial Markets Conduct Act. All the questions you’ll be asked, the minimum standards you’ll need to show you meet, and information about the details and supporting documents you’ll need to provide

  10. 13 April 2021

    Managed fund fees and value for money - guidance

    Guidance and principles to help managers and supervisors of KiwiSaver schemes and other managed investment schemes to demonstrate how they are meeting their existing obligations, statutory duties, and conduct expectations in respect of fees and value for money. Published in April 2021.

  11. 3 March 2016

    IFIAR Survey of Inspection Findings 2015

    In 2015, the International Forum of Independent Audit Regulators (IFIAR) conducted its fourth annual survey of findings (Survey) identified by its Members in their individual inspections of audit firms affiliated with six large, international audit firmnetworks, referred to as the GPPC networks.

  12. 24 February 2015

    Reporting SIPO limit breaks Information sheet

    This 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).

  14. 8 April 2024

    Standard conditions for MIS

    If the FMA grants you a licence to act as a manager of a non-restricted and registered managed investment scheme (MIS manager licence), the licence will be subject to conditions set out in section 402 of the Financial Markets Conduct Act 2013 (FMC Act).

  15. 4 October 2023

    Guidance for keeping proper climate related disclosure records

    This guidance note is for entities that have climate-related disclosure obligations under Part 7A of the Financial Markets Conduct Act 2013. It is intended to help climate reporting entities (CREs) meet their statutory requirement to keep proper climate-related disclosure records at all times.