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Document Library

A filtered search by topic for all guidance, reports or research documents stored on the FMA website.

Found 1606 results. Displaying page 64 of 108

  1. 13 March 2018

    Self select retirement schemes information for scheme managers

    This information sheet explains how these schemes are regulated under the Financial Markets Conduct Act 2013 (FMC Act) and what exemptions and waivers may be available.
    Tags
    Managed investment schemes, Roles, Business
    Type
    PDF, Information Sheet

  3. 12 March 2018

    MIS regulatory returns sample tables

    This spreadsheet should be considered an example of the regulatory return information required by MIS managers.
    Tags
    Managed investment schemes, Roles, Business
    Type
    Spreadsheet, Information Sheet

  4. 12 March 2018

    Annual Regulatory returns for DIMS providers questions

    Annual regulatory return information to be provided by licensed Discretionary Investment Management Services (DIMS) providers to the FMA.
    Tags
    Discretionary investment management scheme (DIMS), Roles, Regulatory returns, Business
    Type
    Word document

  6. 12 March 2018

    Consultation: Content of regulatory returns for licensed DI MIS managers and DIMS providers

    This consultation is for licensed derivative issuers, managers of managed investment schemes, providers of discretionary investment management services, and other interested parties. It aims to gain feedback on our proposals for regulatory returns for licensed DI, MIS managers and DIMS providers.
    Tags
    Derivative Issuer, Discretionary investment management scheme (DIMS), Consultations, Roles, Business, Managed investment schemes
    Type
    PDF

  7. 12 March 2018

    FMA’s media release on 12 March 2018 - OIA response

    OIA response to FMA’s media release on 12 March 2018 regarding the five businesses being warned for Anti-Money Laundering/Countering Financing of Terrorism (AML/CFT) failures. Response dated 5 April 2018.
    Tags
    FMA
    Type
    PDF, OIA

  9. 28 February 2018

    Corporate Governance Handbook 2018

    The Corporate Governance Handbook 2018 was produced by the FMA as a practical guide for directors and executives to apply corporate governance principles.
    Tags
    Governance, FMA
    Type
    PDF

  10. 27 February 2018

    Corporate governance handbook consultation submissions report

    This document summarises the key themes from the submissions to our consultation for the updated Corporate Governance Handbook, and our response to them. It also includes the individual submissions.
    Tags
    Directors, Governance, Consultations, Roles, Business, FMA
    Type
    PDF, Information Sheet

  12. 22 February 2018

    RIS Exemption to enable personalised digital advice 2018

    This regulatory impact statement (RIS) is for financial adviser entities, advisers, and other interested parties. It discusses an exemption to enable the provision of personalised digital advice services.
    Tags
    RIS, Financial Advice Provider, Financial Adviser, Roles, Business
    Type
    PDF

  13. 19 February 2018

    Conduct Outcomes Report 2017

    The Conduct Outcomes Report outlines how we responded to the areas of misconduct we saw during 2017.
    It covers our enforcement action, monitoring and supervision work, and our activities to address risks and harms on our regulatory perimeter. It also includes good practice suggestions for licensed financial service providers, and sets out where we will focus our energies in 2018.
    Tags
    Financial Advice Provider, Supervisor, Monitoring, Roles, Business, Enforcement
    Type
    PDF

  14. 13 February 2018

    Fonterra Shareholders - Approval of Rule Change Notice 2018

    The notice approves changes to the FSM Rules that were provided to the FMA by NZX for approval on 22 Dec 2017. These changes will be incorporated into the FSM Rules at a future date to be determined by the NZX.
    Tags
    FMC Act, Legislation, Business
    Type
    PDF, Notice