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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 163 results. Displaying page 7 of 9

    • 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/

    • 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/

    • Financial advice
    • FMC Act
    • 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
    • FMC Act

    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/

    1 July 2014

    Regulatory Impact Statement

    This Regulatory Impact Statement addresses FMA’s decision to publish the first Regulatory Reporting Guide (RRG) for Authorised Financial Advisers (AFAs), including the Information Return that is the first reporting requirement under the RRG. Considering the regulatory and financial impacts, this document provides an analysis of options that were considered in determining the final policy proposal. Each option was assessed based on: - feedback received from two public consultations - a desire to minimise likely search and build costs for industry - other impacts, costs and benefits.

    https://www.fma.govt.nz/compliance/guidance-library/regulatory-impact-statement/

    • 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/

    • 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/

    • 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/

    3 February 2014

    Guidance Note: Broker Obligations

    Issuing guidance is one of the ways FMA strives to be transparent and share our approach with the market. Guidance helps market participants to be confident that they understand how we interpret and intend to apply the law relating to broker obligations. This guidance note is based on the law as at January 2014, and is for brokers (as defined in the Financial Advisers Act 2008 (Act)). This guidance does not change or add to existing legal requirements for brokers. It is aimed at improving compliance with broker conduct obligations and trust accounting obligations in Part 3A of the Act, by setting out how FMA interprets and applies certain parts of Part 3A. The focus of this guidance is on custody of client money and client property, and the key obligation of brokers to hold client money and client property on trust.

    https://www.fma.govt.nz/compliance/guidance-library/guidance-note-broker-obligations/

    • DIMS
    • FMC Act

    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/