Issuers

Issuers of equity or debt securities, life insurance companies, trustees of superannuation schemes, contributory mortgage brokers, and managers of unit trust all have obligations as issuers.

• Who Needs to Comply

  Anyone offering securities to the public needs to comply. Defines offers, securities, the public and explains the legislation that applies.
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• Prospectus Registration

  Prospectus registration and checks, allotments and amendments. How to register trust deeds and deeds of participation
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• Your Obligations

  Preparing offering documents, ongoing issuer obligations, disclosing information to the market, preparing financial statements and listing rule obligations
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• Monitoring and Surveillance

  Monitoring and Surveillance Issuers
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• Money Laundering and Financing Terrorism

  Money laundering is how criminals disguise the illegal origins of their money.
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• Fees and Levies

  Fees and Levies are payable for registering documents and for exemption applications
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• Breaches and Offences

  The offence and breach provisions of the relevant legislation and our enforcement powers
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• Exemptions

  The exemptions that can apply and how to make an exemption application
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• Financial Reporting Updates and Guidance Notes

  The approach FMA takes to interpreting various requirements under legislation.
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