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Document Library

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

Found 1614 results. Displaying page 80 of 108

  1. 19 May 2016

    Licensing guide - MIS managers of forestry schemes

    This guide supplements Part B of our licensing application guides. It explains to businesses providing a managed
    investment scheme (MIS) service of a forestry scheme how to approach their licence application under the Financial
    Markets Conduct Act 2013 (FMC Act).
    Tags
    Licence guide, Roles, Licensing & registration, Business, Managed investment schemes
    Type
    PDF

  2. 19 May 2016

    FMA legislative notices supporting the FMC Act

    To support businesses implementing the Financial Markets Conduct Act 2013 (FMC Act), the FMA has been working, in consultation with the sector, on various legislative tools such as exemptions, frameworks, methodologies, public accountability notices, and designations to help businesses and individuals comply with the Act.
    Tags
    FMC Act, Legislation, Business
    Type
    PDF, Notice

  3. 17 May 2016

    Consultation: Class exemption for property schemes

    Consultation to address the specific characteristics of property schemes (MIS) that recognises that full compliance with some specific requirements may be unnecessary and overly burdensome.
    Tags
    Roles, Consultations, Business, Supervisor
    Type
    PDF

  4. 17 May 2016

    Exemption notice - some property schemes

    The FMA believes that property schemes generally can and should comply with the same licensing and governance requirements under the FMC Act as other managed investment schemes (MIS). However given the characteristics of property schemes, we recognise that full compliance with some specific requirements may be unnecessary, and the cost is likely to outweigh benefits for
    investors. As a result, we have approved class exemptions for property schemes and their custodians to address these matters.
    Tags
    Client money or property services provider, Exemptions, Roles, Business
    Type
    PDF

  6. 6 May 2016

    Exemption notice - IAG Ltd

    Financial Markets Conduct Exemption Notice 2016: Insurance Australia Group Limited.
    Tags
    Exemptions, Business
    Type
    PDF

  7. 6 May 2016

    Exemption Notice APN

    Financial Markets Conduct Exemption Notice 2016: APN News & Media Limited.
    Tags
    Exemptions, Business
    Type
    PDF

  8. 2 May 2016

    Craigs - Settlement Agreement

    Craigs and FMA Settlement agreement,following an investigation into potential breaches of Anti-Money Laundering and Countering Financing of Terrorism Act 2009 in relation to Craigs. 2 May 2016.
    Tags
    Investigations, Settlement, Enforcement
    Type
    PDF

  9. 1 May 2016

    Exemption notice - Craigs DIMS

    Financial Markets Conduct Exemption Notice 2016: Craigs Investment Partners Limited Contingency DIMS.
    Tags
    Exemptions, Business
    Type
    PDF

  13. 20 April 2016

    Using behavioural insights to improve financial capability

    This paper is a practical reference for government and industry. It aims to be a source of ideas to encourage use of behaviourally focused approaches that help consumers make better decisions, and a lens to gauge whether these approaches are likely to work
    Tags
    Investor capability, FMA
    Type
    PDF, Paper