1. Compliance
  2. Guidance library

Guidance library

The guidance library contains the FMA’s guidance notes, information sheets, guides and other reference material. 

Show advanced search

Clear all

Found 142 results. Displaying page 1 of 8

    • FMC Act
    • Issuers and offers

    13 December 2019

    Green bonds – same class exclusion

    This information sheet explains the circumstances in which an issuer can make an offer of green bonds under the same class exclusion. It also explains when the Financial Markets Authority (FMA) might consider granting an individual exemption to facilitate offers of green bonds with the same credit characteristics as quoted ‘vanilla’ bonds from the same issuer.

    https://www.fma.govt.nz/compliance/guidance-library/green-bonds-same-class-exclusion/

    • AML/CFT

    26 July 2019

    AML/CFT customer due diligence: sole traders and partnerships

    Businesses can take many forms and may vary in size and complexity. The AML/CFT customer due diligence: sole traders and partnerships fact sheet focuses on the three business types - Sole trader, partnership and limited partnership. The fact sheet should be read in conjunction with the beneficial ownership guideline.

    https://www.fma.govt.nz/compliance/guidance-library/amlcft-customer-due-diligence-sole-traders-and-partnerships/

    • Corporate governance
    • Crowdfunding
    • DIMS
    • Financial advice
    • Managed investments
    • P2P lending
    • Supervisors

    11 July 2019

    Cyber-resilience in FMA-regulated financial services

    Cyber-resilience in FMA-regulated financial services report summarises the findings of our thematic review of cyber-resilience in New Zealand financial services and provides guidance for firms in areas where we have identified the need for improvement. It will be useful for our regulated sectors, to help ensure they comply with our expectations and best practice.

    https://www.fma.govt.nz/compliance/guidance-library/cyber-resilience-in-fma-regulated-financial-services/