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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 140 results. Displaying page 7 of 7

    • AML/CFT
    • Managed investments

    17 December 2012

    Open letter to managers of collective schemes (CIS)

    Outsourcing of administration duties does not absolve the manager of a CIS from its obligations as a reporting entity under the Act. The FMA Open letter to managers of collective schemes (CIS) talks about the AML/CFT programme policies and procedures to manage any identified risks that outsoucing may present.

    https://www.fma.govt.nz/compliance/guidance-library/open-letter-to-managers-of-collective-schemes-cis/

    • AML/CFT

    16 January 2012

    AML/CFT guide for small financial adviser businesses

    The AML/CFT guide for small financial adviser businesses is designed to help financial advisers working independently or in a small business comply with their obligations under the Anti-Money Laundering and Countering the Financing of Terrorism Act 2009 (the AML/CFT Act) and associated regulations (together AML/CFT law).

    https://www.fma.govt.nz/compliance/guidance-library/amlcft-guide-for-small-financial-adviser-businesses/

    • Fair dealing

    1 January 2012

    Fair dealing

    The FMC Act sets out minimum compliance standards of behaviour for people operating in the financial markets. The fair dealing provisions of the FMC Act apply to all members of the public (regardless of whether they're a retail or wholesale customer) and are based on equivalent provisions in the Fair Trading Act 1986 (FTA).

    https://www.fma.govt.nz/compliance/guidance-library/fair-dealing/

    • Financial advice

    1 March 2011

    Good character and criminal convictions: Financial Advisers Act 2008

    Good character and criminal convictions: Financial Advisers Act 2008 guide is intended to answer some of the queries the Commission has received regarding the assessment of good character, as well as provide further guidance on the information applicants need to provide to the Commission in relation to criminal convictions.

    https://www.fma.govt.nz/compliance/guidance-library/good-character-and-criminal-convictions-financial-advisers-act-2008/