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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 136 results. Displaying page 7 of 7

    • Issuers and offers

    1 September 2012

    Pre-prospectus publicity

    Pre-prospectus publicity guidance note is intended for issuers of securities, their directors and advisers. It sets out the Financial Markets Authority’s (FMA) view on the boundaries of pre-regulated offer publicity/advertising (also commonly referred to as ‘pre-prospectus publicity’), as required by the Securities Act 1978 (Act) and FMA’s policy on the scope of pre prospectus publicity it will support by exemption.
    120901 Pre prospectus publicity guidance note

    https://www.fma.govt.nz/compliance/guidance-library/pre-prospectus-publicity/

    • KiwiSaver and superannuation

    3 April 2008

    KiwiSaver guideline no.KSGN2: Performance fees and ethical fund fees

    The purpose of KiwiSaver guideline no.KSGN2: Performance fees and ethical fund fees is to provide general guidance on how the Government Actuary will view fees to be charged directly to a KiwiSaver Scheme.
    080403 Performance Fees and Ethical Fund Fees KiwiSaver Guideline

    https://www.fma.govt.nz/compliance/guidance-library/kiwisaver-guideline-no-ksgn2-performance-fees-and-ethical-fund-fees/

    • KiwiSaver and superannuation

    1 October 2007

    KiwiSaver guideline no.KSGN1: Unreasonable fees

    KiwiSaver guideline no.KSGN1: Unreasonable fees advise how I will view fees to be charged directly to the fund, firstly in the event of a complaint being received about unreasonable fees and secondly following receipt of the trustee annual report and the annual (audited) financial statements.
    071001 Unreasonable fees KiwiSaver Guideline

    https://www.fma.govt.nz/compliance/guidance-library/kiwisaver-guideline-no-ksgn1-unreasonable-fees/