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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 3 of 7

    • 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/

    • Crowdfunding

    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/

    • Managed investments

    19 May 2016

    Licensing guide for MIS managers of forestry schemes

    Licensing guide for MIS managers of forestry schemes supplements Part B of our licensing application guides. It explains to businesses providing a managed investment scheme (MIS) service of a forestry scheme how to approach their licence application under the Financial Markets Conduct Act 2013 (FMC Act).
    160519 Licensing guide for MIS managers of forestry schemes

    https://www.fma.govt.nz/compliance/guidance-library/licensing-guide-for-mis-managers-of-forestry-schemes/

    • Managed investments

    24 November 2015

    Guidance note on risk indicators and description of managed funds

    This guidance note is for managers and supervisors of managed funds. It gives guidance on how to calculate risk indicators, when to update a PDS, how to describe a fund’s volatility, and in certain cases how to name your fund.
    151124 Guidance note on risk indicators and description of managed funds 151124 Regulatory Impact Statement guidance on risk Indicators and descriptions of managed funds

    https://www.fma.govt.nz/compliance/guidance-library/guidance-note-on-risk-indicators-and-description-of-managed-funds/

    • Issuers and offers

    14 September 2015

    Research reports for IPOs under the Financial Markets Conduct Act 2013

    Research reports for IPOs information sheet discuss the availability of research reports about issuers on initial public offerings (IPOs). It is intended for issuers, research analysts and brokers.
    150914 Research reports for IPOs under the Financial Markets Conduct Act 2013

    https://www.fma.govt.nz/compliance/guidance-library/research-reports-for-ipos-under-the-financial-markets-conduct-act-2013/

    • DIMS

    26 June 2015

    Calculation of returns for DIMS providers

    This information sheet outlines what methodology we expect providers of Discretionary Investment Management Services (DIMS) licensed under the Financial Markets Conduct Act 2013 (Act) (DIMS licensees) to use when calculating returns required by the Financial Markets Conduct Regulations 2014 (Regulations).
    150626 Calculation of returns for DIMS providers information sheet

    https://www.fma.govt.nz/compliance/guidance-library/calculation-of-returns-for-dims-providers/

    • DIMS

    21 May 2015

    Understanding the regulation of DIMS: Frequently asked questions

    This document is for providers of Discretionary Investment Management Services (DIMS) to retail clients. It may also be helpful for people providing custody services to DIMS providers, and to those providing financial advice about DIMS.
    150521 Understanding the regulation of dims frequently asked questions

    https://www.fma.govt.nz/compliance/guidance-library/understanding-the-regulation-of-dimsfrequently-asked-questions/

    • Issuers and offers

    27 February 2015

    Issuers registers of regulated products and the FMA's discretion under section 224

    This information sheet outlines the requirements relating to issuers’ registers of regulated products under Subpart 4 of Part 4 of the Financial Markets Conduct Act 2013 (FMC Act). It also sets out how the FMA will exercise its discretion to authorise an issuer to decline a request for a copy of a register under section 224 of the FMC Act.
    150227 Issuers registers of regulated products and the FMAs discretion under section 224

    https://www.fma.govt.nz/compliance/guidance-library/issuers-registers-of-regulated-products-and-the-fmas-discretion-under-section-224/