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  1. 1 October 2014

    KiwiSaver Report 2014

    This KiwiSaver Report 2014 has been prepared in accordance with section 194 of the Act. It details the principal matters transacted under the Act during the period 1 July 2013 to 30 June 2014 (the Reporting Period), and contains the seventh annual summary of the statistical returns required to be lodged by KiwiSaver schemes under section 125 of the Act, as at 31 March 2014.
    Tags
    KiwiSaver providers, Supervisor, Managed investment schemes, Roles, Business
    Type
    PDF, Report

  2. 1 October 2014

    Getting the best outcome from your AMLCFT Audit

    This information is intended to help our REs, especially small financial adviser businesses, get value from their AML/CFT Audit. Adopting all (or any) of these items in discussions with auditors is optional, but we believe that by considering these suggestions, REs are more likely to achieve the best possible results from their audit.
    Tags
    AML/CFT, Roles, Reporting entities, Business
    Type
    PDF

  3. 1 October 2014

    Declaration by executive director of related body

    Declaration form to be completed by executive director's of a related body.
    Tags
    Directors, Authorised body under a FAP, Roles, Declaration, Licensing & registration, Business
    Type
    Word document, Application form

  4. 1 October 2014

    Getting the best outcome from your AML/CFT audit

    Getting the best outcome from your AML/CFT audit is intended to help our reporting entities, especially small financial adviser businesses, get value from their audit.
    Tags
    AML/CFT, Roles, Reporting entities, Business
    Type
    Page, Guidance

  5. 1 October 2014

    Superannuation Schemes Report

    This report has been prepared in accordance with section 28 of the Act and details the principal matters transacted under the Act during the reporting period.
    Tags
    Roles, Reports and Papers, KiwiSaver providers, Business, Managed investment schemes, News & Insights, Supervisor
    Type
    Page, Report

  6. 1 October 2014

    Reporting duties under Part 4 of the FMC Act Information Sheet and Table

    This 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
    Auditors, Roles, Offer disclosure for equity and debt offers, Business, Managed investment schemes, Supervisor
    Type
    PDF, Information Sheet

  7. 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

  8. 1 October 2014

    Superannuation Schemes Report

    This report has been prepared in accordance with section 28 of the Act and details the principal matters transacted under the Act during the reporting period.
    Tags
    Roles, Reports and Papers, KiwiSaver providers, Business, Managed investment schemes, News & Insights, Supervisor
    Type
    Page, Report

  9. 30 September 2014

    Consultation Paper: The new accountability framework - Governance under Part 4 of the FMC Act

    Consultation Paper: The new accountability framework - Governance under Part 4 of the FMC Act. 10 submissions were received. Many of the comments were incorporated into a guidance note, outlining our expectations for governance under Part 4 of the FMC Act.
    Tags
    FMC Act, Governance, Legislation, Consultations, Roles, Business, FMA, Managed investment schemes, Supervisor
    Type
    Page

  10. 30 September 2014

    Consultation Paper: The new accountability framework - Governance under Part 4 of the FMC Act

    Consultation Paper: The new accountability framework - Governance under Part 4 of the FMC Act. 10 submissions were received. Many of the comments were incorporated into a guidance note, outlining our expectations for governance under Part 4 of the FMC Act.
    Tags
    FMC Act, Governance, Legislation, Consultations, Roles, Business, FMA, Managed investment schemes, Supervisor
    Type
    Page

  11. 8 September 2014

    Consultation Paper: Derivatives Issuer Standard Condition on Suitability - Suitability of products for clients

    In November 2013 the Financial Markets Authority consulted on the minimum standards and conditions for derivatives issuers wishing to be licensed under the Financial Markets Conduct Act 2013 (the Act). As part of that consultation we sought responses on a condition relating to the assessment of suitability of products for clients. Two options were provided, one being disclosure based and the other an assessment by the issuer.
    Tags
    Derivative Issuer, Consultations, Roles, Business
    Type
    PDF

  12. 1 September 2014

    Governance under part 4 of the FMC Act

    Governance under part 4 of the FMC Act guidance note is for issuers of debt securities, managers of managed investment schemes and their supervisors. It gives guidance on the expectations FMA has for your approach to the governance responsibilities and accountabilities that apply under Part 4 of the Financial Markets Conduct Act 2013.
    Tags
    Offer disclosure for equity and debt offers, Roles, Business, Managed investment schemes, Supervisor
    Type
    Page, Guidance

  13. 1 September 2014

    Governance under Part 4 of the FMC Act guidance

    This guidance note is for Issuers of debt securities, managers of investment schemes and their supervisors. It gives guidance on the expectations of the FMA on your approach to governance and accountability responsibilities that apply to Part 4 of the FMC Act 2015.
    Tags
    Governance, Offer disclosure for equity and debt offers, Roles, Business, FMA, Managed investment schemes, Supervisor
    Type
    PDF, Guidance

  14. 1 September 2014

    Superannuation Schemes Report 2014

    This report has been prepared in accordance with section 28 of the Act and details the principal matters transacted under the Act during the period 1 July 2013 to 30 June 2014 (the
    Reporting Period). It is produced solely in respect of registered superannuation schemes and does not include any KiwiSaver scheme data. The FMA has prepared a separate report for KiwiSaver schemes in respect of the Reporting Period.
    Tags
    Reports and Papers, Roles, Business, Managed investment schemes, News & Insights, Supervisor
    Type
    PDF