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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 48 of 108

  1. 28 August 2019

    Impact of behavioural insights on KiwiSaver enrolment communications

    This report is for KiwiSaver providers and
    providers of any Managed Investment Scheme.
    It will also be of interest to behavioural insight researchers.
    Tags
    Reports and Papers, KiwiSaver providers, Roles, Business, Managed investment schemes, News & Insights
    Type
    PDF, Research

  2. 23 August 2019

    Standard conditions for independent trustee corporates

    If the FMA grants you an independent trustee licence (as a corporate), the licence will be subject to conditions as set out in section 402 of the Financial Markets Conduct Act 2013 (FMC Act).
    Tags
    Independent trustee, Roles, Standard conditions, Licensing & registration, Business
    Type
    PDF

  3. 23 August 2019

    Standard conditions for independent trustee individuals

    If the FMA grants you an independent trustee licence (as an individual), the licence will be subject to conditions as set out in section 402 of the Financial Markets Conduct Act 2013 (FMC Act).
    Tags
    Independent trustee, Roles, Standard conditions, Licensing & registration, Business
    Type
    PDF

  4. 15 August 2019

    Consultation New financial advice regime exemptions

    This consultation is for any person giving regulated financial advice or providing client money or property services, and
    their advisers and interested parties. It seeks feedback on proposed exemption support for the new financial advice regime.
    Tags
    New Financial Advice regime, Authorised body under a FAP, Client money or property services provider, Financial Advice Provider, Consultations, Roles, Financial Services Legislation Amendment Act (FSLAA), Business
    Type
    PDF

  6. 9 August 2019

    Guidance on Expired Passports as Identification for Customer Due Diligence

    The AML/CFT supervisors have become aware of the need for clear guidance on the use of expired passports as part of Customer Due Diligence procedures and how it relates to the
    Amended Identity Verification Code of Practice 2013 (‘the code’).
    Tags
    AML/CFT, Roles, Reporting entities, Business
    Type
    PDF, Guidance

  9. 1 August 2019

    Interest rate swap investigation - OIA request

    OIA response, dated 1 August 2019, which looked at the investigation by the FMA in 2012-2013 into banks marketing, promoting and selling interest rate swaps between 2005 and 2009. As well as complaints surrounding interest rate swap and the final settlement number with the banks.
    Tags
    FMA
    Type
    PDF, OIA

  12. 30 July 2019

    Payments to social media influencers - OIA request

    OIA response, dated 30 July 2019, where costs were queried in relation to three public awareness campaigns in which social media influencers received payment for posts.
    Tags
    FMA
    Type
    PDF, OIA

  13. 26 July 2019

    Guidance for foreign passport fund operators

    This guide is for foreign passport fund operators wanting to offer interests in regulated collective investment schemes (CIS) in New Zealand under the Asia Region Funds Passport regime.
    Tags
    Managed funds, FMC Act, Ways to invest, Investing, Legislation, Business, Consumer
    Type
    PDF, Guidance