Document Library

CE Expense Disclosure Travel Samantha Barrass 25 Jan to 30 Jun 22

Ethical Investment Journey Research

This report contains findings from a qualitative study interviewing a range of New Zealanders about their experience with ethical* investments. It covers the underlying factors that drive people toward considering an ethical investment (KiwiSaver or managed fund) and their experiences of navigating the different providers and products on offer. It also provides detail on specific triggers and difficulties during people’s journey toward buying ethical investments. It covers the types of information people find most useful, challenges facing potential ethical investors, and factors providers should consider to improve people’s experience. Ethical Investment Journey Research - July 2022.

Integrated financial products Review of managed fund documentation

Findings from a review of the effectiveness of disclosure information from a sample of managed investment funds labelled or marketed as being integrated financial products (e.g. sustainable, ethical, green)

Exemption Notice - The City of London Investment Trust plc

The Financial Markets Conduct (The City of London Investment Trust plc) Exemption Notice 2022, exempts The City of London Investment Trust plc from certain financial reporting obligations in Part 7 of the Financial Markets Conduct Act 2013.

Feedback form CoFI licence proposed standard conditions

Proposed standard conditions for financial institution licences consultation paper

Self assessment tool complaints handling

Use this self-assessment tool to see if you’re ready to complete the complaints handling section of your Class 1 or Class 2 FAP full licence application. It should help you identify areas of strength or weakness in your full licence preparation so you can seek further help or advice and address any gaps before you apply.

Approach to oversight of financial statements

In this document we provide a summary of our main work in monitoring compliance with financial reporting obligations by FMC reporting entities and registered schemes (regulated entities) from 2022-2025.

Class legislative notice summary 2022

This is a summary of the Financial Markets Conduct Act class legislative notices we have granted as at 1 June 2022. It includes exemptions, designations, frameworks or methodologies, and public accountability notices.

FMA advice reasonable grounds consultation feedback form

Feedback form for consultation paper: Proposed guidance on reasonable grounds for financial advice about IPOs and listed equity securities

FMA DIMS SC2 consultation feedback form

Feedback form for consultation paper: Proposed variation to Standard Condition 2 of Standard Conditions for DIMS licences – Incidental financial advice

Exemption Notice - Financial Markets Conduct Futurity Investment Group Limited

The Financial Markets Conduct (Futurity Investment Group Limited) Exemption Notice 2022 exempts Futurity Investment Group Limited (the manager), as manager of Futurity managed investment schemes in New Zealand, principally from section 156(1) of the Financial Markets Conduct Act 2013 (the Act) subject to certain conditions.

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