Document Library

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

Keywords

Date Published

Sort by:

Certification process - new KiwiSaver, superannuation and workplace savings schemes

The FMA certification process for the registration of new KiwiSaver, superannuation and workplace savings schemes

Reporting SIPO limit breaks Information sheet

This information sheet outlines the reporting obligations of a Managed Investment Scheme (MIS) manager if there has been a limit break under its Statement of Investment Policy and Objectives (SIPO) under Part 4 of the Financial Markets Conduct Act 2013 (FMC Act).

Information sheet Related party transactions under the Financial Markets Conduct Act 2013.1.1

This information sheet outlines the rules on related-party transactions that apply to managed investment schemes under the Financial Markets Conduct Act 2013 (FMC Act).

Exemption notice - Securities Act Augusta Funds Management Limited Southgate Proportionate Ownership Scheme

Securities Act Augusta Funds Management Limited Southgate Proportionate Ownership Scheme Exemption Notice 2015

Going Public - a directors guide

FMA & IoD guide helps NZ directors evaluate going public & understand IPO processes without covering full legal obligations.

Mark - Joseph Schroeder and Justin William Prain - Reserved Judgment

Reserved Judgment of the District Court of Christchurch in the case against Mark Joseph Schroeder and Justin William Prain.

FMA DIMS seminar presentation

FMA seminar outlines definition of DIMS, DIMS types, licensing, contingency exemptions, and client agreement requirements for financial advisers.

Westpac - Settlement Agreement

Settlement agreement with Westpac New Zealand Limited; Westpac Banking Corporation regarding interest rate swaps sales to certain rural customers, 16 February 2015.