Document Library


Found 1370 results. Displaying page 1 of 92

  1. 12 January 2022

    170522 Consultation Proposed exemption from obligation to prepare scheme financial statements for bundled unit trusts

    This consultation is for: managers, supervisors, auditors,
    administration managers, investors. It aims to: seek feedback on the exemption proposal for bundled unit trusts.
    Tags
    Auditors, Supervisor, Consultations, Roles, Business
    Type
    PDF
  2. 14 January 2022

    170927 Guidance on substantial product holder disclosures

    This guidance is for anyone who has, or may have,
    a substantial holding in a listed issuer; Fund management firms and their employees. It aims to assist substantial product holders in understanding their obligations and help to
    promote consistency in disclosures.
    Tags
    Derivative Issuer, Managed investment schemes, Roles, Business
    Type
    PDF, Guidance
  3. 20 January 2022

    180312 Consultation: Content of regulatory returns for licensed DI MIS managers and DIMS providers

    This consultation is for licensed derivative issuers (DI), managers of managed investment schemes (MIS
    managers), providers of discretionary investment management services (DIMS providers), and other interested parties. It aims to gain feedback on our proposals for regulatory returns for licensed DI, MIS managers and DIMS providers.
    Tags
    Derivative Issuer, Discretionary investment management scheme (DIMS), Managed investment schemes, Consultations, Roles, Business
    Type
    PDF
  4. 10 January 2022

    181101 Determining whether you are acquiring a business or assets

    Under the Financial Markets Conduct Regulations 2014 (the Regulations), issuers making regulated offers of debt and equity securities are required to provide investors with a Product Disclosure Statement (PDS) that contains prescribed financial information for recent or proposed business acquisitions. This guidance sets out our view of what constitutes a ‘business’ for these purposes, as opposed to an asset. It also sets out additional information issuers should consider disclosing for asset acquisitions.
    Tags
    FMC Act, Offer information, Legislation, Business
    Type
    PDF, Guidance