Back

Search results

Found 1820 results. Displaying page 6 of 122

  1. 23 October 2024

    DIMS Sector Insights 2024

    Insights from our 2022-2024 monitoring of the Discretionary Investment Management Service (DIMS) sector

  6. 18 October 2024

    FMIA Guidance Oct 2024 Designations

    This guidance explains the roles of the Reserve Bank and Financial Markets Authority, and the approach the two agencies take when FMIs are designated that can be found here

  8. 16 October 2024

    Guidance on winding up requirements for registered schemes

    This document is for Supervisors and Managers of registered schemes. It provides guidance on the requirements in section 212 (Initial steps in winding up of registered scheme) and section 213 (Winding-up report) of the Financial Markets Conduct Act 2013.

  9. 16 October 2024

    Guidance

    The guidance news page contains the FMA’s guidance notes, information sheets, guides and other reference material.

  11. 15 October 2024

    Crowdfunding service providers

    Crowdfunding is a type of financial market service covered by the FMC Act. Find out more about becoming a crowdfunding service provider including details in licensing, obligations, fair dealing provisions, financial reporting, exemptions, levies and waivers, along with important guidance and reports..

  12. 14 October 2024

    AML/CFT Programme Guideline

    This guideline is designed to help you develop and implement your anti-money laundering and countering financing of terrorism programme (programme) under the Anti-Money Laundering and Countering Financing of Terrorism (AML/CFT) Act 2009 (the Act).

  15. 14 October 2024

    Managed investment scheme manager

    A Managed Investment Scheme (MIS) pools money from a number of investors who rely on the investment expertise of the MIS manager. These schemes can be structured in different ways and may invest in a wide range of investments. On this page you will find the licensing and registration and compliance obligations of a MIS manager. You will also find a list of KiwiSaver exempt employers.