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  2. 1 June 2012

    KiwiSaver sale and distribution guidance

    This guidance note provides guidance on the FMAs expectations for the sale of KiwiSaver schemes within the requirements and spirit of the Financial Advisers Act 2008 (the Act). This guidance focuses on factors FMA will take into account when considering whether advice is given, and if so, whether the advice is categorised as a class or personalised service.

  3. 1 June 2012

    Licence Application Guide - overseas Auditors and Audit Firm registrations

    This guide is for overseas auditors and overseas audit firms. It explains how: an overseas audit firm can apply for authorisation of its registration; overseas auditors can apply for licences (which are not transitional licences and are referred to in this guide as ‘standard’ licences).

  4. 1 June 2012

    Auditor regulation and oversight plan 2012 2015

    Audits of FMC reporting entities’ financial statements are designed to increase investor confidence. One of the ways we ensure these audits are done well is by reviewing audits at registered audit firms. This plan is for the 2012-2015 period

  10. 31 January 2012

    AML/CFT Guide for small financial adviser businesses

    This guide is designed to help financial advisers working independently or in a small business comply with their obligations under the Anti-Money Laundering and Countering the Financing of Terrorism Act 2009 (the AML/CFT Act) and associated regulations (together AML/CFT law).