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Guidance library

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

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Found 139 results. Displaying page 6 of 7

    • FMC Act
    • KiwiSaver and superannuation
    • Managed investments
    • Supervisors

    1 September 2014

    Governance under part 4 of the FMC Act

    Governance under part 4 of the FMC Act guidance note is for issuers of debt securities, managers of managed investment schemes and their supervisors. It gives guidance on the expectations FMA has for your approach to the governance responsibilities and accountabilities that apply under Part 4 of the Financial Markets Conduct Act 2015.

    https://www.fma.govt.nz/compliance/guidance-library/governance-under-part-4-of-the-fmc-act/

    • Crowdfunding
    • P2P lending
    • archive

    1 August 2014

    Fair dealing provisions: Transitional arrangements for advertising

    Fair dealing provisions: Transitional arrangements for advertising information sheet is for Issuers and third parties who advertise in order to promote offers during the period 1 April 2014 to 30 November 2016 (‘transition period’) need to be aware of new FMC Act fair dealing provisions and how they apply.

    https://www.fma.govt.nz/compliance/guidance-library/fair-dealing-provisions-transitional-arrangements-for-advertising/

    • Issuers and offers

    1 August 2014

    When one-off or occasional issuers are required to register

    When one-off or occasional issuers are required to register information sheet clarifies when one-off or occasional issuers must register on the Financial Service Providers Register (FSPR) under the Financial Service Providers (Registration and Dispute Resolution) Act 2008 (in addition to any disclosure obligations that they may have under the Financial Markets Conduct Act 2013).

    https://www.fma.govt.nz/compliance/guidance-library/when-one-off-or-occasional-issuers-are-required-to-register/

    • Financial advice

    16 July 2014

    Regulatory reporting guide for AFAs

    Regulatory reporting guide for AFAs includes reporting requirements that an Authorised Financial Adviser (AFA) must comply with to fulfill Standard Condition 2 of the Standard Conditions. These requirements are shown in the shaded boxes in bold type. And, Guidance and explanatory material to assist AFAs in understanding the reporting requirements.

    https://www.fma.govt.nz/compliance/guidance-library/regulatory-reporting-guide-for-afas/

    • archive

    1 June 2014

    Limited personalised advice

    Limited personalised advice guidance shows how advisers can give high quality limited personalised advice that is time and cost-efficient without generating paperwork that is not required, nor valued by clients. It explains how AFAs can comply with the Financial Advisers Act 2008 (Act) and the Code of Professional Conduct for AFAs (Code) when providing limited personalised advice. We have also provided examples to help explain our approach.

    https://www.fma.govt.nz/compliance/guidance-library/limited-personalised-advice/

    • KiwiSaver and superannuation
    • Supervisors

    1 May 2014

    New governance and accountability framework for restricted schemes and their trustees

    The Financial Markets Conduct (FMC) Act 2013 changes the governance and accountability framework for financial products. Find out what these changes mean for restricted schemes and their trustees in the New governance and accountability framework for restricted schemes and their trustees information sheet.

    https://www.fma.govt.nz/compliance/guidance-library/new-framework-for-restricted-schemes-and-their-trustees/

    • FMC Act
    • Issuers and offers
    • Supervisors

    1 May 2014

    New governance and accountability framework for debt issuers and their licensed supervisors

    The Financial Markets Conduct (FMC) Act 2013 changes the governance and accountability framework for financial products. Find out what these changes mean for debt issuers and their licensed supervisors in the New governance and accountability framework for debt issuers and their licensed supervisors information sheet.

    https://www.fma.govt.nz/compliance/guidance-library/new-governance-and-accountability-framework-for-debt-issuers-and-their-licensed-supervisors/

    • DIMS

    18 January 2014

    Quick guide to licence applications for small businesses providing DIMS

    Quick guide to licence applications for small businesses providing DIMS supplements our main licensing application guide. It outlines how a small business providing lower risk Discretionary Investment Management Services (DIMS) can approach an application for a DIMS licence under the Financial Markets Conduct Act 2013 (FMC Act).

    https://www.fma.govt.nz/compliance/guidance-library/quick-guide-to-licence-applications-for-small-businesses-providing-dims/