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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 29 of 108

  1. 18 October 2021

    Exemption Notice - Christchurch City Holdings Limited Sustainable Bond Offer

    The notice exempts Christchurch City Holdings Limited (CCHL), subject to conditions, from the disclosure, governance, and financial reporting requirements in Parts 3, 4 and 7 of the Financial Markets Conduct Act 2013 (the Act) in relation to offers of ‘sustainable’, ‘sustainability’, ‘green’ ‘social’, or similar bonds (Sustainable Bonds) issued under CCHL’s sustainability framework (Sustainability Framework).
    Tags
    Type
    PDF, Exemption notice

  3. 15 October 2021

    Council of Financial Regulators (CoFR) - MOU

    MOU concerning consultation, cooperation and the exchange of information between the FMA and the Council of Financial Regulators (Reserve Bank of New Zealand; FMA; The Treasury; Ministry of Business, Innovation and Employment (MBIE) and Commerce Commission
    Tags
    Regulatory cooperation, FMA
    Type
    PDF, MOU

  5. 12 October 2021

    Advertising offers of financial products under the FMC Act guidance

    This guidance focuses on the application of the fair dealing provisions in Part 2 of the FMC Act to communications made for the purposes of advertising or promoting offers of financial products (advertising). This guidance also covers the application of the specific advertising provisions in Part 3 of the FMC Act for regulated offers of financial products.
    Tags
    Crowdfunding providers, Cryptocurrencies, Derivative Issuer, Financial Advice Provider, Roles, Business, Managed investment schemes, Peer-to-peer lending service providers
    Type
    PDF

  10. 6 October 2021

    Persons spreadsheet - Supporting document for Auditors

    Persons spreadsheet - Supporting document for Auditors. Complete the relevant columns giving a list of all partners indicating those who are members of a professional body and those who hold practising certificate, the name and website address of the professional body and a link to, any publicly available online register of members published by the body.
    Tags
    Authorised body under a FAP, Roles, Business
    Type
    Spreadsheet, Submission form

  12. 4 October 2021

    Self assessment tool cyber security and BCP

    Planning for all types of risk is an essential part of any business. As a financial advice provider, clients rely on you to ensure their information is secure, confidential, and available at all times. By taking the time to prepare for the unexpected, you’ll be able to get back on your feet quickly, protecting both your clients and your business.
    Use this self-assessment tool to see if you’re ready to complete the cyber security and business continuity planning 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
    Financial Advice Provider, Licensing & registration, Roles, Business
    Type
    PDF