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  7. 20 April 2023

    Am I a Climate Reporting Entity FAQ

    Entities required by legislation to produce climate statements are known as Climate Reporting Entities or CREs. Find out if you are a Climate Reporting Entity on this fact sheet.
    Tags
    Climate related disclosure, Banking, Insurance Providers, Roles, Authorised body under a FAP, Financial Institutions, Climate Reporting Entities, Business, Managed investment schemes, Supervisor
    Type
    PDF, Fact sheet

  8. 1 November 2013

    Changes ahead for Financial Reporting - FMA Fact Sheet

    The Financial Reporting Bill currently before Parliament is going to change the reporting requirements for all ‘Financial Markets Conduct (FMC) Reporting Entities’.
    Tags
    Type
    Page, Financial reporting, Guidance

  9. 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

  11. 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

  12. 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

  15. 9 February 2023

    Licensed & reporting entities

    The businesses/people listed on this page have been granted a licence or have been authorised by the FMA. It's important to only deal with licensed people and businesses because if things go wrong you will have access to free dispute resolution services. Find out further details including the provider's business address, list of services and the name of their independent dispute resolution scheme on the Financial Service Providers Register.
    Tags
    Crowdfunding providers, Roles, Derivative Issuer, Discretionary investment management scheme (DIMS), Independent trustee, Licensing & registration, Asia Region Funds Passport Register, Reporting entities, Licensed entity, Business, Managed investment schemes, Market operator, Peer-to-peer lending service providers, Supervisor, Designated Business Group (DBG)
    Type
    Page