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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 161 results. Displaying page 6 of 9

    • FMC Act
    • Managed investments

    1 December 2014

    Other types: Managed investment schemes

    Other types: Managed investment schemes information sheet outlines a working example of the key activities and indicative timings for each step of the transition for a ‘other types’ of MIS. Other types of MIS includes a range of schemes, often tightly focused – eg property and forestry schemes. Note, excludes property and forestry schemes structured as companies (who are classed as equity issuers).

    https://www.fma.govt.nz/compliance/guidance-library/other-types-managed-investment-schemes/

    • FMC Act

    1 November 2014

    Financial regulation and registration requirements for marinas

    Financial regulation and registration requirements for marinas information sheet provides information on how the Financial Markets Conduct Act 2013 (FMC Act) changes the way interests in marinas are regulated. Marinas will generally not be regulated under the FMC Act and will no longer need to register on the Financial Service Providers Register.

    https://www.fma.govt.nz/compliance/guidance-library/financial-regulation-and-registration-requirements-for-marinas/

    • Audit
    • Financial reporting
    • FMC Act
    • Supervisors

    1 October 2014

    Reporting duties under Part 4 of the FMC Act

    Reporting duties under Part 4 of the FMC Act information sheet outlines the new reporting duties under the Financial Markets Conduct Act 2013 (FMC Act) for debt issuers, managers of managed investment schemes, supervisors, auditors, investment managers, administration managers, custodians and actuaries.

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

    • 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 2013.

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