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Document Library

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

Found 1610 results. Displaying page 23 of 108

  7. 26 July 2022

    Ethical Investment Journey Research

    This report contains findings from a qualitative study interviewing a range of New Zealanders about their experience with ethical* investments. It covers the underlying factors that drive people toward considering an ethical investment (KiwiSaver or managed fund) and their experiences of navigating the different providers and products on offer. It also provides detail on specific triggers and difficulties during people’s journey toward buying ethical investments. It covers the types of information people find most useful, challenges facing potential ethical investors, and factors providers should consider to improve people’s experience. Ethical Investment Journey Research - July 2022.
    Tags
    Reports and Papers, Ethical finance, Business, FMA, News & Insights
    Type
    PDF, Report, Research

  8. 26 July 2022

    Integrated financial products Review of managed fund documentation

    Findings from a review of the effectiveness of disclosure information from a sample of managed investment funds labelled or marketed as being integrated financial products (e.g. sustainable, ethical, green)
    Tags
    Ethical finance, Roles, Business, Managed investment schemes, Supervisor
    Type
    PDF

  9. 22 July 2022

    Exemption Notice - The City of London Investment Trust plc

    The Financial Markets Conduct (The City of London Investment Trust plc) Exemption Notice 2022, exempts The City of London Investment Trust plc from certain financial reporting obligations in Part 7 of the Financial Markets Conduct Act 2013.
    Tags
    Exemptions, Business
    Type
    PDF, Exemption notice

  12. 12 July 2022

    Self assessment tool complaints handling

    Use this self-assessment tool to see if you’re ready to complete the complaints handling section of your Class 1 or Class 2 FAP full licence application. It should help you identify areas of strength or weakness in your full licence preparation so you can seek further help or advice and address any gaps before you apply.
    Tags
    Authorised body under a FAP, Financial Advice Provider, Roles, Business
    Type
    PDF

  13. 11 July 2022

    Approach to oversight of financial statements

    In this document we provide a summary of our main work in monitoring compliance with financial reporting obligations by FMC reporting entities and registered schemes (regulated entities) from 2022-2025.
    Tags
    Auditors, Directors, Roles, Business
    Type
    PDF, Financial reporting

  14. 11 July 2022

    Class legislative notice summary 2022

    This is a summary of the Financial Markets Conduct Act class legislative notices we have granted as
    at 1 June 2022. It includes exemptions, designations, frameworks or methodologies, and public
    accountability notices.
    Tags
    Designations, FMC Act, Exemptions, Legislation, Business
    Type
    PDF

  15. 5 July 2022

    FMA DIMS SC2 consultation feedback form

    Feedback form for consultation paper: Proposed variation to Standard Condition 2 of Standard Conditions for DIMS licences – Incidental financial advice
    Tags
    Consultations, Business
    Type
    Word document, Feedback form