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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

    • Financial advice

    17 September 2015

    AFA Authorisation Renewal Guide

    Financial advisers have been generally authorised to provide services for up to five years. They are due for authorisation renewal from 2015 onwards. Under section 58 of the FA Act, existing authorised financial advisers (AFAs) can renew for a further term, generally for five years.Refer AFA Authorisation Renewal Guide for guidance to renew your AFA authorisation.

    https://www.fma.govt.nz/compliance/guidance-library/afa-authorisation-renewal-guide/

    • DIMS

    26 June 2015

    Calculation of returns for DIMS providers

    The Calculation of returns for DIMS providers 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).

    https://www.fma.govt.nz/compliance/guidance-library/calculation-of-returns-for-dims-providers/

    • FMC Act
    • Issuers and offers

    27 February 2015

    Issuers registers of regulated products and the FMA's discretion under section 224

    Issuers registers of regulated products and the FMA's discretion under section 224 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).

    https://www.fma.govt.nz/compliance/guidance-library/issuers-registers-of-regulated-products-and-the-fmas-discretion-under-section-224/

    • Issuers and offers

    20 February 2015

    Content and form of Disclose register information

    Content and form of Disclose register information 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.

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

    • DIMS
    • archive

    19 February 2015

    FMA DIMS seminar presentation

    The Christchurch DIMS Seminar powerpoint provides information about: What is a DIMS; when is it DIMS; when it's not DIMS; an example of DIMS; types of DIMS; contingency DIMS requirements, client agreements, investment authorities, what AFAs should do; DIMS that aren't Contingency DIMS; what is considered personalised or Class?,; decisions for AFAs currently authorised for DIMS; licensing action; tips and fees.

    https://www.fma.govt.nz/compliance/guidance-library/fmadims-seminar-presentation/

    • 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..

    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

    Exemption from DIMS licensing requirements for AFAs providing a contingency DIMS 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.

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