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A filtered search by topic for all guidance, reports or research documents stored on the FMA website.

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Found 1434 results. Displaying page 1 of 96

  2. 30 March 2023

    Guidance Effective disclosure

    This guidance note is for Issuers of securities under the Securities Act 1978 pursuant to the transitional provisions of the Financial Markets Conduct Act 2013. It is also for their directors and advisers. It gives guidance on the approach the Financial Markets Authority (FMA) intends to take in reviewing prospectuses and investment statements for compliance with the law.

    https://www.fma.govt.nz/assets/Guidance/141201-Guidance-effective-disclosure.pdf (1.3 MB)

    Tags
    Directors, Roles, Derivative Issuer, Business
    Type
    PDF, Guidance

  3. 30 March 2023

    Content and form of Disclose register information guidance note

    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 2013. It gives guidance on matters the FMA recommends you consider when producing your register entry.

    https://www.fma.govt.nz/assets/Guidance/150220-Content-and-form-of-Disclose-register-information-guidance-note.pdf (895 KB)

    Tags
    Derivative Issuer, Financial Adviser, Roles, Business
    Type
    PDF, Guidance

  7. 16 March 2023

    How the FAP licence classes compare

    Before you apply for a Financial Advice Provider (FAP) licence, you’ll need to decide whether you want to be considered for a Class 1, Class 2, or Class 3 licence. Use this table as a general guide to help you determine the class of FAP licence that is best suited to you and your plans for your business.

    https://www.fma.govt.nz/assets/Licensing-guides/How-the-FAP-licence-classes-compare.pdf (57 KB)

    Tags
    Financial Advice Provider, Licence guide, Roles, Licensing & registration, Business
    Type
    PDF

  8. 15 March 2023

    Classes of financial advice service for FAP licences

    The FMA specifies three licence classes for financial advice providers (FAP): Class 1, Class 2 and Class 3. See section 395(2) of the Financial Markets Conduct Act 2013 as amended by the Financial Services legislation Amendment Act 2019 (FMC Act).
    Licence classes apply to the manner in which regulated financial advice may be provided but do not limit the types of financial advice that may be provided under the licence, as the latter is addressed by the competency requirements in the Code of Professional Conduct for Financial Advice Services.

    https://www.fma.govt.nz/assets/Information-sheets/Classes-of-financial-advice-service-for-full-FAP-licences.pdf (188 KB)

    Tags
    Financial Advice Provider, Licence guide, Roles, Licensing & registration, Business
    Type
    PDF, Information Sheet

  11. 14 March 2023

    Financial advice regime obligations

    If you provide regulated financial advice to clients you will need to fulfil a number of duties. These duties aim to ensure all New Zealanders have access to quality financial advice, and to help build public confidence in advisers – a good thing for everyone.

    https://www.fma.govt.nz/assets/Fact-sheets/Meeting-your-obligations-under-the-new-regime.pdf (107 KB)

    Tags
    Compliance, Financial Adviser, New Financial Advice regime, Client money or property services provider, Obligations, Roles, Business
    Type
    PDF, Information Sheet