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FMA consultation on a proposed suitability condition for derivatives issuers to assess retail investors’ understanding before entering contracts.
This guidance note is for Issuers of debt securities, managers of investment schemes and their supervisors. It gives guidance on the expectations of the FMA on your approach to governance and accountability responsibilities that apply to Part 4 of the FMC Act 2015.
This information sheet responds to queries by market participants about the ability to create new unit trust schemes under the Unit Trusts Act 1960 between 1 December 2014 and 30 November 2015. FMA’s opinion is that persons creating unit trusts between 1 December 2014 and 1 December 2015 can choose between regimes.
This information sheet clarifies when one-off or occasional issuers must register on the Financial Service Providers Register (FSPR) under the Financial Service Providers (Registration and Dispute Resolution) Act 2008 (in addition to any disclosure obligations that they may have under the Financial Markets Conduct Act 2013).
2014 research report about New Zealanders' attitudes to investment.
The fair dealing provisions relating to “financial products” and “financial services” make it an offence to engage in misleading or deceptive conduct in relation to financial products or to make false, misleading or unsubstantiated representations about financial products.
CE gift and hospitality disclosure for the period 1 January 2014 - 30 June 2014
CE gifts and benefits disclosure for the period 1 January 2014 - 30 June 2014
CE expenses disclosure for the period 1 January 2014 - 30 June 2014
CE expenses disclosure for the period 1 January 2014 - 30 June 2014
CE expenses disclosure for the period 1 January 2014 - 30 June 2014
FMA TRU2.1 Variation form includes statutory declaration and checklist to support changes to an existing supervisors licence.
Securities Markets Act (NZX New Market Limited) Exemption Notice 2014
Securities Act (Metro Performance Glass Limited) Exemption Notice 2014
Securities Act (Vista Group International Limited) Exemption Notice 2014