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

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Found 72 results. Displaying page 1 of 5

  1. 1 October 2007

    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

  4. 1 November 2018

    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

  6. 1 July 2021

    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

  7. 1 December 2017

    aml cft interpreting ordinary course of business guideline

    This guideline is designed to help clarify the meaning of the phrase “in the ordinary course of business”. The meaning of this phrase is important if your business conducts one (or more) of the activities listed under the definitions of financial
    institution”, “designated non-financial business or profession”, and “high-value dealer” in the Anti-Money Laundering and Countering Financing of Terrorism Act
    2009 (AML/CFT Act).

    https://www.fma.govt.nz/assets/Guidance/aml-cft-interpreting-ordinary-course-of-business-guideline.pdf (303 KB)

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

  9. 20 February 2015

    150220 Content and form of Disclose register information guidance note

    This guidance note is for Issuers and advisers who are required to produce a register entry for an offer of financial products under the FMC Act 2013. It gives guidance on matters the FMA recommends you consider when producing your register entry.

    https://www.fma.govt.nz/assets/Guidance/150220-Content-and-form-of-Disclose-register-information-guidance-note.pdf (903 KB)

    Tags
    Derivative Issuer, Financial Adviser, Roles, Business
    Type
    PDF, Guidance

  12. 9 July 2021

    Regulation for nominee directors and nominee general partners 2021

    Reporting entities will be expected to comply with the new regulation as soon as possible from 9 July 2021. However, in recognition that reporting entities will need to amend their processes and procedures (and potentially systems), a transitional compliance period will apply until 29 April 2022.

    https://www.fma.govt.nz/assets/Guidance/Regulation-for-nominee-directors-and-nominee-general-partners-2021.pdf (363 KB)

    Tags
    AML/CFT, Roles, Reporting entities, Business
    Type
    PDF, Guidance

  13. 1 June 2013

    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

  14. 1 April 2012

    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

  15. 31 January 2012

    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