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Guidance library

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

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Found 133 results. Displaying page 2 of 7

    • FMC Act
    • Issuers and offers
    • Managed investments
    • Supervisors

    27 September 2017

    Guidance on substantial product holder disclosures

    This guidance is for: anyone who has, or may have, a substantial holding in a listed issuer, fund management firms and their employees and other interested parties. It aims to assist substantial product holders in understanding their obligations and help to promote consistency in disclosures.

    https://www.fma.govt.nz/compliance/guidance-library/guidance-on-substantial-product-holder-disclosures/

    • Managed investments

    19 July 2017

    Fee disclosure by managed funds

    This guidance helps managers and supervisors understand how fees should be disclosed in Product Disclosure Statements, fund updates and, in respect of KiwiSaver schemes, confirmation information. It includes guidance on the classification and disclosure of performance-based fees, management and administration charges, underlying fund charges, and how to use third-party information.

    https://www.fma.govt.nz/compliance/guidance-library/fee-disclosure-by-managed-funds/

    • Issuers and offers

    1 July 2017

    Offering financial products in New Zealand and Australia under mutual recognition (MRSO)

    Offering financial products in New Zealand and Australia under mutual recognition (MRSO) is a guide for New Zealand and Australian issuers offering financial products or interests in managed or collective investment schemes in both countries. It explains what issuers have to do under the trans-Tasman mutual recognition scheme for offers of financial products.
    Offering financial products in New Zealand and Australia under mutual recognition (MRSO)

    https://www.fma.govt.nz/compliance/guidance-library/offering-financial-products-in-new-zealand-and-australia-under-mutual-recognition-mrso/

    • Issuers and offers
    • Managed investments

    15 May 2017

    Designation of certain shares in investment companies as managed investment products

    Shares to MIPs information sheet explains the class notice which designates certain shares in investment companies as managed investment products, and the company which issues them as a managed investment scheme.
    180201 Information Sheet Shares to MIPs

    https://www.fma.govt.nz/compliance/guidance-library/designation-of-certain-shares-in-investment-companies-as-managed-investment-products-2/

    • FMC Act
    • Issuers and offers

    22 December 2016

    How the FMC Act will affect co-operative companies and industrial and provident societies that have issued, or intend to issue, co-operative shares

    How the FMC Act will affect co-operative companies and industrial and provident societies that have issued, or intend to issue, co-operative shares information sheet outlines the options for co-operative companies and industrial and provident societies (IPSs) (collectively referred to as co-operatives) offering and managing co-operative shares.
    161222 How the FMC Act will affect co operative companies and industrial and provident societies that have issued or intend to issue co operative shares

    https://www.fma.govt.nz/compliance/guidance-library/how-the-fmc-act-will-affect-co-operative-companies-and-industrial-and-provident-societies-that-have-issued-or-intend-to-issue-co-operative-shares-2/

    • FMC Act
    • Issuers and offers

    15 November 2016

    How the FMC Act will affect companies and incorporated societies that manage communal facilities

    Information Sheet on how the FMC Act will affect companies and incorporated societies that manage communal facilities.
    161115 Information Sheet How the FMC Act will affect companies and incorporated societies that manage communal facilities

    https://www.fma.govt.nz/compliance/guidance-library/how-the-fmc-act-will-affect-companies-and-incorporated-societies-that-manage-communal-facilities/

    • AML/CFT

    2 June 2016

    How to complete your annual AML/CFT report: A quick guide to help small financial adviser businesses

    This user guide clarifies the questions in the AML/CFT report template that may be open to interpretation and identifies questions that are unlikely to be relevant to small financial adviser businesses.
    How to complete your annual AML/CFT report: A quick guide to help small financial adviser businesses

    https://www.fma.govt.nz/compliance/guidance-library/how-to-complete-your-annual-amlcft-report-a-quick-guide-to-help-small-financial-adviser-businesses/

    • Issuers and offers

    2 June 2016

    Crowdfunding services for property investments – meeting the eligibility criteria

    This information sheet is designed to help crowdfunding services offering property investment (‘property crowdfunding’) meet the eligibility criteria for a licensed crowdfunding service in New Zealand.
    160602 Crowdfunding services for property investments meeting the eligibility criteria

    https://www.fma.govt.nz/compliance/guidance-library/crowdfunding-services-for-property-investments-meeting-the-eligibility-criteria/