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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 3 of 7

    • 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/

    • Managed investments

    24 February 2015

    Related-party transactions under the Financial Markets Conduct Act 2013

    Related-party transactions under the Financial Markets Conduct Act 2013 information sheet outlines the rules on related-party transactions that apply to managed investment schemes under the Financial Markets Conduct Act 2013 (FMC Act).
    150224 Related party transactions under the FMC Act 2013 information sheet

    https://www.fma.govt.nz/compliance/guidance-library/related-party-transactions-under-the-financial-markets-conduct-act-2013/

    • Issuers and offers

    20 February 2015

    Content and form of Disclose register information

    This guidance note is for issuers and advisers who are required to produce a register entry for an offer of financial products under the FMC Act. It gives guidance on matters the FMA recommends you consider when producing your register entry. It does not prescribe a single ‘best practice’ approach to register entries as different approaches may be suitable for different businesses.
    150220 Content and form of Disclose register information guidance note

    https://www.fma.govt.nz/compliance/guidance-library/content-and-form-of-disclose-register-information/