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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 1454 results. Displaying page 1 of 97

  3. 19 May 2023

    Regulatory-returns-for-licensed-MIS-questions

    Annual regulatory return information to be provided by licensed MIS providers to the FMA.
    Tags
    Roles, Business, Managed investment schemes
    Type
    Word document, Information Sheet

  4. 19 May 2023

    FMA Annual Letter of Expectations for 2024

    Annual letter of expectations from the Minister to the FMA for the priod 2023-2024.
    Tags
    Minister release, Annual letter of expectations from the Minister, FMA, News & Insights
    Type
    PDF

  5. 19 May 2023

    DIMS Regulatory Return Data Template

    DIMS Regulatory Return Data Template.
    Tags
    Discretionary investment management scheme (DIMS), Regulatory returns, Roles, Business
    Type
    Spreadsheet

  7. 18 May 2023

    Licensing Application Guide Part A

    To apply for a market service licence you need to read both PART A and PART B of our licensing application guide. PART A: (this guide) provides general guidance about the licensing process. This includes information about who needs a licence, how to login to the application portal and how to create a RealMe identity, if you don’t already have one (you’ll need one before you can apply).
    Tags
    Crowdfunding providers, Derivative Issuer, Independent trustee, Licence guide, Roles, Licensing & registration, Business, Managed investment schemes
    Type
    PDF

  8. 18 May 2023

    Embark Early Education Limited Exemption Notice 2023

    The Financial Markets Conduct (Embark Early Education Limited) Exemption Notice 2023 exempts Embark Early Education Limited (Embark AU) from Part 3 of the Financial Markets Conduct Act 2013 (the Act) in relation to shares in Embark AU that are to be offered to eligible shareholders under a proposed scheme of arrangement pursuant to Part 15 of the Companies Act 1993.
    Tags
    FMC Act, Exemptions, Legislation, Business
    Type
    PDF, Exemption notice, Financial Markets Conduct Act exemptions, Current

  9. 15 May 2023

    MOU with NZ RegCo

    This memorandum of understanding (MOU) sets out the framework for engagement and cooperation between the FMA and NZ RegCo, which takes into account their complementary regulatory roles.
    Tags
    Regulatory cooperation, FMA
    Type
    PDF, MOU

  10. 10 May 2023

    Sharesies No 2 exemption notice

    The Notice exempts Sharesies Investment Management Limited (Sharesies) as manager of the Sharesies KiwiSaver Scheme (Scheme), and the self-select fund in the Scheme (self-select fund) from certain provisions of the Financial Markets Conduct Act 2013.
    Tags
    FMC Act, Legislation, Business
    Type
    PDF, Exemption notice

  12. 9 May 2023

    Sharesies levy waiver

    Pursuant to REgulation 14 of the Financial Markets Authority (Levies) Regulations 2012, the FMA grated a waiver of part of the FMA levy to the proposed Sharesies KiwiSaver Scheme.
    Tags
    Waivers, Roles, Business, Managed investment schemes
    Type
    PDF

  13. 9 May 2023

    Supervisors Licence Covenant Trustee Services Limited

    This is to certify that COVENANT TRUSTEE SERVICES LIMITED FSP30521, is licensed under section 16(1) of the Financial Markets Supervisors Act 2011 to act as a supervisor in respect of debt securities; a supervisor in respect of registered schemes excluding KiwiSaver schemes, Superannuation schemes and Workplace Savings schemes and a statutory supervisor in respect of retirement villages.

    Tags
    Licence, Roles, Licensing & registration, Business, Supervisor
    Type
    PDF

  14. 8 May 2023

    Supervisor Licence - the new zealand guardian trust company limited

    This licence certificate is to certify that The New Zealand Guardian Trust Company LImited, FSP33501 is licenced as a Supervisor in respect of debt securities and registered schemes in New Zealand.
    Tags
    Licence, Roles, Licensing & registration, Business, Supervisor
    Type
    PDF