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  1. 14 January 2022

    170927 Guidance on substantial product holder disclosures

    This guidance is for anyone who has, or may have,
    a substantial holding in a listed issuer; Fund management firms and their employees. It aims to assist substantial product holders in understanding their obligations and help to
    promote consistency in disclosures.

    https://www.fma.govt.nz/assets/Guidance/170927-Guidance-on-substantial-product-holder-disclosures.pdf (599 KB)

    Tags
    Derivative Issuer, Managed investment schemes, Roles, Business
    Type
    PDF, Guidance

  3. 10 January 2022

    181101 Determining whether you are acquiring a business or assets

    Under the Financial Markets Conduct Regulations 2014 (the Regulations), issuers making regulated offers of debt and equity securities are required to provide investors with a Product Disclosure Statement (PDS) that contains prescribed financial information for recent or proposed business acquisitions. This guidance sets out our view of what constitutes a ‘business’ for these purposes, as opposed to an asset. It also sets out additional information issuers should consider disclosing for asset acquisitions.

    https://www.fma.govt.nz/assets/Guidance/181101-Determining-whether-you-are-acquiring-a-business-or-assets.pdf (193 KB)

    Tags
    FMC Act, Offer information, Legislation, Business
    Type
    PDF, Guidance

  5. 14 January 2022

    111201 Code Standard 6 (d) – Analysis Before Recommendation guidance

    This guidance note is intended for Authorised Financial Advisers (AFAs). It clarifies FMA’s expectations in relation to the application of, and compliance with, Code Standard 6 (d) of the Code of Professional Conduct for AFAs (May 2011), particularly in relation to public issues.

    https://www.fma.govt.nz/assets/Guidance/111201-Guidance-code-standard-6-d-analysis-before-recommendation.pdf (319 KB)

    Tags
    Financial Adviser, Roles, Business
    Type
    PDF, Guidance

  6. 14 January 2022

    150706 draft guidance on risk indicators and descriptions on managed funds

    In December 2014 we consulted on guidance for calculating risk indicators. After consultations, feedback and subsequent discussions with businesses who have been involved
    in producing draft product disclosure statements, we believe it would be useful to extend that guidance note to cover additional related matters.

    https://www.fma.govt.nz/assets/Guidance/150706-draft-guidance-on-risk-indicators-and-descriptions-on-managed-funds.pdf (779 KB)

    Tags
    Consultations, Business
    Type
    PDF, Guidance

  7. 14 January 2022

    Unreasonable fees KiwiSaver guideline

    The Government objective for KiwiSaver is to establish a low cost work-based savings scheme. In general terms the KiwiSaver Act 2006 (“the Act”) expounds the principle that the fees should not be unreasonable and should reflect the services provided. This guideline was issued by the Government Actuary.

    https://www.fma.govt.nz/assets/Guidance/071001-unreasonable-fees-kiwisaver-guideline.pdf (203 KB)

    Tags
    KiwiSaver providers, Managed investment schemes, Roles, Business
    Type
    PDF, Guidance

  9. 14 January 2022

    April 2012 Policies and guidance for the assessment of applications to be an accredited body

    This document sets out FMA’s policies in relation to how it will act in determining applications for accreditation and in imposing, varying, removing or adding to conditions of accreditation, as well as explaining how to apply for accredited body status.

    https://www.fma.govt.nz/assets/Policies/120401-policy-and-guidance-on-applications-for-accreditation-and-conditions-of-accreditation.pdf (307 KB)

    Tags
    Regulation, Policy, Business
    Type
    PDF, Guidance

  10. 14 January 2022

    aml cft guide for small financial adviser businesses

    This guide is designed to help financial advisers working independently or in a small business comply with their obligations under the Anti-Money Laundering and Countering the Financing of Terrorism Act 2009 (the AML/CFT Act) and associated regulations (together AML/CFT law).

    https://www.fma.govt.nz/assets/Guidance/aml-cft-guide-for-small-financial-adviser-businesses.pdf (789 KB)

    Tags
    AML/CFT, Financial Adviser, Roles, Business
    Type
    PDF, Guidance

  13. 10 January 2022

    AML.CFT Regulation Update 2021

    New Zealand’s Anti-Money Laundering and Countering Financing of Terrorism (AML/CFT) system is intended to adapt as money laundering and terrorism financing risks evolve. Two regulations, that are a key part of the AML/CFT system, were due to expire. These are the AML/CFT (Exemptions) Regulations 2011 which were scheduled to expire on 30 June 2020, and the AML/CFT (Definitions) Regulations 2011 which partially expire on 27 July 2021.

    https://www.fma.govt.nz/assets/Guidance/AML.CFT-Regulation-Update-2021.pdf (215 KB)

    Tags
    AML/CFT, Directors, Monitoring, Regulation updates, Roles, Business
    Type
    PDF, Guidance

  14. 26 May 2022

    Record keeping for financial advice providers

    This information sheet sets out our expectations for how licensed financial advice providers (FAPs)
    can demonstrate compliance with the standard condition for record keeping. It will be useful for
    small and medium-sized FAPs to consider the examples provided when reviewing their internal
    arrangements for creating and maintaining records.

    https://www.fma.govt.nz/assets/Information-sheets/Record-keeping-for-financial-advice-providers.pdf (399 KB)

    Tags
    Financial Advice Provider, Financial Adviser, FMC Act, Roles, Legislation, Business
    Type
    PDF, Guidance, Information Sheet

  15. 14 January 2022

    Securities trustees and statutory supervisors monitoring guidance note

    This guidance note is for licensed securities trustees and statutory supervisors. It sets out the Financial Market Authority’s (FMA) expectations of how they will carry out their monitoring functions effectively.

    https://www.fma.govt.nz/assets/Guidance/130601-Securities-trustees-and-statutory-supervisors-monitoring-guidance-note-1.pdf (382 KB)

    Tags
    Supervisor, Reporting entities, Roles, Business
    Type
    PDF, Guidance