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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 3 of 9

    • AML/CFT

    14 December 2017

    AML/CFT interpreting 'ordinary course of business' guideline

    The AML/CFT interpreting 'ordinary course of business' guideline is designed to help clarify the meaning of the phrase "in the ordinary course of business" in the definition of financial institution in the AML/CFT Act 2009. The meaning of this phrase is important if your business conducts one (or more) of the activities listed under the definitions of financial institution”, “designated non-financial business or profession”, and “high-value dealer” in the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (AML/CFT Act).

    https://www.fma.govt.nz/compliance/guidance-library/amlcft-interpreting-ordinary-course-of-business-guideline/

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

    27 September 2017

    Guidance on substantial product holder disclosures

    Guidance on substantial product holder disclosures 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/

    • Issuers and offers

    1 August 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) guide is for New Zealand and Australian issuers offering financial products or interests in managed or collective investment schemes in both countries.

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

    • AML/CFT

    4 July 2017

    AML/CFT Sector Risk Assessment

    The AML/CFT Sector Risk Assessment 2017 is an important document that provides general information and specific examples to assist reporting entities (REs) in the nine sectors we supervise for anti-money laundering and counter-financing of terrorism (AML/CFT). It will assist reporting entities to prepare and review their individual assessments of the risks of AML/CFT under sections 58 and 59 of the AML/CFT Act.

    https://www.fma.govt.nz/compliance/guidance-library/aml-cft-sector-risk-assessment-report/

    • Issuers and offers
    • Managed investments

    15 May 2017

    Designation of certain shares in investment companies as managed investment products

    Designation of certain 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.

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