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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 140 results. Displaying page 4 of 7

    • 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/

    • KiwiSaver and superannuation

    1 February 2015

    Certification process for registration of new KiwiSaver, superannuation and workplace savings schemes

    FMA certification process for the registration of new KiwiSaver superannuation and workplace savings schemes information sheet outlines the process for getting a certificate from the FMA to apply for registration of a new KiwiSaver, superannuation or workplace savings scheme..
    150224 FMA certification process for the registration of new KiwiSaver superannuation and workplace savings schemes information sheet

    https://www.fma.govt.nz/compliance/guidance-library/certification-process-for-registration-of-new-kiwisaver-superannuation-and-workplace-savings-schemes/

    • DIMS

    1 January 2015

    Exemption from DIMS licensing requirements for AFAs providing a contingency DIMS

    This information sheet explains the exemption from the licensing requirements of the Financial Markets Conduct Act 2013 available to AFAs where Discretionary Investment Management Services (DIMS) are provided to a retail client on a contingency basis.
    150101 Exemption from DIMS licensing requirements for AFAs providing a contingency DIMS Information Sheet

    https://www.fma.govt.nz/compliance/guidance-library/exemption-from-dims-licensing-requirements-for-afas-providing-a-contingency-dims/

    • DIMS

    1 January 2015

    Transitional provisions for AFAs providing personalised DIMS

    Changes to the way DIMS are regulated came into force on 1 December 2014. These include changes to the regulation of personalised DIMS provided to retail clients under the Financial Advisers Act 2008 (FA Act). This information sheet explains the transitional provisions that apply to AFAs who only intend to offer personalised DIMS under the FA Act.
    150101 Transitional provisions for AFAs providing a Personalised DIMS Information Sheet

    https://www.fma.govt.nz/compliance/guidance-library/transitional-provisions-for-afas-providing-personalised-dims/