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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 139 results. Displaying page 3 of 7

    • 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

    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) 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/

    • 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/

    • 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.

    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/

    • Financial advice

    1 December 2016

    Code of Professional Conduct for AFAs

    The Code of Professional Conduct for Authorised Financial Advisers (AFAs) was approved by the Minister of Commerce under section 92 of the Financial Advisers Act 2008 on 21 September 2010 and came into force on 1 December 2010. The Code has since been updated and a revised Code was approved by the Minister of Commerce on 13 March 2014 which came into force on 1 May 2014. The Code has then been further updated and a further revised Code was approved by the Minister of Commerce and Consumer Affairs on 23 August 2016 and came into force on 1 December 2016.

    https://www.fma.govt.nz/compliance/guidance-library/afas-code/

    • Crowdfunding

    2 June 2016

    Crowdfunding services for property investments – meeting the eligibility criteria

    Crowdfunding services for property investments – meeting the eligibility criteria, 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.

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

    • AML/CFT

    2 June 2016

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

    How to complete your annual AML/CFT report: A quick guide to help small financial adviser businesses has been prepared for authorised financial advisers and small financial adviser businesses that come under Regulation 16 of the Anti-Money Laundering and Countering Financing of Terrorism (Definitions) Regulations 2011 (regulations).

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

    • Managed investments

    19 May 2016

    Licensing guide for MIS managers of forestry schemes

    Licensing guide for MIS managers of forestry schemes guide 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).

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