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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 142 results. Displaying page 5 of 8

    • 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/

    • 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.

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

    • FMC Act
    • Managed investments

    1 December 2014

    Other types: Managed investment schemes

    Other types: Managed investment schemes information sheet outlines a working example of the key activities and indicative timings for each step of the transition for a ‘other types’ of MIS. Other types of MIS includes a range of schemes, often tightly focused – eg property and forestry schemes. Note, excludes property and forestry schemes structured as companies (who are classed as equity issuers).

    https://www.fma.govt.nz/compliance/guidance-library/other-types-managed-investment-schemes/