Document Library

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

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Consultation paper charities debt securities exemption

FMA consultation on ending exemptions for charities issuing debt securities, proposing full FMC Act compliance for transparency and investor protection.

Risk indicators and description of managed funds - guidance note

This guidance is for managers and supervisors of managed funds. It gives guidance on how to calculate risk indicators, when to update a PDS, how to describe a fund’s volatility, and in certain cases how to name your fund.

Guidance on risk indicators and description of managed funds - RIS

This Regulatory Impact Statement (RIS) considers the FMA’s proposed guidance on risk indicators and description of managed funds.

Exemption Notice - Financial Markets Conduct CBA Capital Australia Pty Limited

Financial Markets Conduct (CBA Capital Australia Pty Limited) Exemption Notice 2015

Exemption Notice - Financial Markets Conduct Goodman Fielder Pty Limited

Financial Markets Conduct (Goodman Fielder Pty Limited) Exemption Notice 2015

Consultation paper Draft guidance on disclosure of certain fees and returns by managed funds

This consultation is for managers, supervisors, and their advisers. It aims to help the industry comply with FMC Regulations for their fund updates and PDSs.

Exemption notice - Securities Act Augusta Funds Management Limited Shands Road Limited Partnership

Financial Markets Conduct Exemption Notice 2015: Augusta Funds Management Limited - Shands Road Limited partnership.

Custodians obligations information sheet

This information sheet explains the difference between a broker and a custodian, custodians for wholesale and managed investment scheme (MIS) clients, and custodians’ statutory obligations. We also list examples of different custodial arrangements.

FMA Annual Report 2015

FMA Annual Report 2015.

KiwiSaver Report 2015

We are required to report each year on our main KiwiSaver activities. This year’s report covers the period from 1 July 2014 to 30 June 2015, and contains a summary of the statistical returns required to be lodged by KiwiSaver schemes as at 31 March 2015.

30 September 2015 Disclose Register KiwiSaver fund updates

This document is the Disclose Register for KiwiSaver fund updates for 30 September 2015

Mark Joseph Schroeder and Justin William Prain - Judgment

High Court Judgment in the case against Mark Joseph Schroeder and Justin William Prain.

Consultation Corporate vehicles used to manage costs in communal facilities for real property FMC Act designation and exemption

FMA consultation on exempting property cost-sharing companies from FMC Act rules, focusing on their non-investment purpose and limited financial risk.

Vivier and Company Limited - Judgment

High Court Judgment in the case against Vivier and Company Limited on 25 September 2015.

Exemption Notice - Financial Markets Conduct IG Markets Limited

Financial Markets Conduct (IG Markets Limited) Exemption Notice 2015

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