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  2. 30 May 2014

    new governance and accountability framework for mis managers and their licensed supervisors 2014

    The FMC Act introduces an accountability framework for managed investment schemes (MIS). The requirements include a statutory duty of care on both managers and supervisors of managed investment schemes. Both must also act in the best interests of investors. Managers and supervisors need to have a clear understanding of their respective roles and understand they will be held to account for their actions.

  7. 1 February 2014

    Broker Obligations guidance note

    The focus of this guidance is on custody of client money and client property, and the key obligation of brokers to hold client money and client property on trust.

  12. 13 November 2013

    Consultation licensing MIS

    Consultation: Draft minimum standards and licence conditions for managers of non-restricted and registered Managed Investment Schemes (MIS).

  14. 1 October 2013

    KiwiSaver Report 2013

    The report details the principal matters transacted under the Act during the year ended 30 June 2013, and contains the sixth annual summary of the statistical returns, required to be lodged by KiwiSaver schemes under section 125 of the Act.

  15. 1 August 2013

    AML/CFT - wire transfers fact sheet

    The Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (the Act) contains a set of obligations for reporting entities to enhance the transparency of wire transfers. Wire transfers have been assessed in the National Risk Assessment as presenting a high risk of money laundering in New Zealand, which is consistent with experience overseas.