Document Library

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

Keywords

Date Published

Sort by:

Exemption Notice 2014 - Securities Act (Hercules Limited)

Securities Act (Hercules Limited) Exemption Notice 2014

Consultation Paper: Derivatives Issuer Standard Condition on Suitability - Suitability of products for clients

FMA consultation on a proposed suitability condition for derivatives issuers to assess retail investors’ understanding before entering contracts.

Governance under Part 4 of the FMC Act guidance

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.

Creation of new unit trusts during transition period information sheet 2014

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.

Guidance - One off Issuers

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).

Money Week Survey Report 2014

2014 research report about New Zealanders' attitudes to investment.

Fair dealing provisions transitional arrangements for advertising information sheet

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.