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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

    • 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/

    • 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/