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  1. 1 November 2014

    Statements of investment policy and objectives (SIPO) guidance

    This guidance note is for managers of Managed Investment Schemes and their Supervisors. It provides guidance on the expections of the FMA for your approach to SIPOs under Part 4 of the FMC Act 2013.
    Tags
    Roles, Business, Managed investment schemes, Supervisor
    Type
    PDF, Guidance

  2. 1 November 2014

    Quality Financial Reporting - How To Improve Financial Statements

    In September 2014, the FMA hosted a half-day discussion forum in Auckland titled ‘Beyond International Financial
    Reporting Standards (IFRS): Quality Financial Reporting’. This forum aimed to facilitate a clearer understanding of
    disclosure challenges within the New Zealand environment, and identify ways to improve financial statements so they
    are a clear and effective reporting and communication tool.
    Tags
    Directors, Reports and Papers, Roles, Auditors, Business, News & Insights
    Type
    PDF, Financial reporting

  3. 1 November 2014

    AML/CFT Monitoring Report 2014

    The purpose of this report is to help reporting entities (REs) better understand our expectations, and what they can do to improve their systems and processes to comply with the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (the Act) and its supporting regulations. This is our 2014 report.
    Tags
    AML/CFT, Reports and Papers, Roles, Reporting entities, Business, News & Insights
    Type
    PDF

  4. 1 November 2014

    Statements of investment policy and objectives (SIPO) under the FMC Act

    This guidance note outlines the expectations the Financial Markets Authority (FMA) has for your approach to preparing statements of investment policy and objectives (SIPOs) under Part 4 of the Financial Markets Conduct Act 2013 (FMC Act).
    Tags
    Roles, Business, Managed investment schemes, Supervisor
    Type
    Page, Guidance

  6. 31 October 2014

    Exemptions: Financial Advisers Act 2008

    The Guidance note explains the approach of the Financial Markets Authority (the FMA) to granting exemptions under the Financial Advisers Act 2008. It is intended to provide answers to commonly asked questions in relation to exemptions and to provide information to potential applicants on the process for making an application.
    Tags
    Financial advice, Directors, Roles, Auditors, Financial Adviser, Exemptions, Business, Consumer, Supervisor
    Type
    Page, Guidance

  7. 30 October 2014

    FMA focus on improving conduct and increasing trust in financial markets

    The Financial Markets Authority (FMA) Chief Executive Rob Everett has set out the evolving approach for the FMA as the regulator’s mandate expands under the Financial Markets Conduct Act, taking effect from 1 December.
    Tags
    FMC Act, Legislation, Media release, Business, News & Insights
    Type
    Page

  9. 30 October 2014

    Reporting duties under Part 4 of the FMC Act

    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
    Client money or property services provider, Roles, Auditors, Offer disclosure for equity and debt offers, Business, Managed investment schemes, Supervisor
    Type
    PDF, Information Sheet

  10. 29 October 2014

    FMA Annual Report 2014

    FMA Annual Report 2014,
    Tags
    Type
    PDF, Annual report, Corporate publications

  11. 28 October 2014

    alcanfml.com

    We believe information on the website is untrue and the company is not authorised to offer the services advertised.
    Tags
    Imposter website, Scams
    Type
    Page

  15. 4 October 2014

    Securities Act (Tairua Marina)

    Securities Act (Tairua Marina) expired exemption notice
    Tags
    Exemptions, Secondary legislation, Business
    Type
    Page