Document Library

Found 76 results. Displaying page 4 of 6

1. 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).

2. 1 December 2017

   AML/CFT Designated Business Group – Formation Guideline

   Guideline to reporting entities on eligibility, formation, notification and withdrawal from a designated business group.

3. 10 October 2017

   The Bank Bill Benchmark Rate and closing rates guidance note

   This guidance clarifies the FMA’s expectations about the trading conduct and controls for firms participating in the trading that sets BKBM and closing rates in the New Zealand market. October 2017.

4. 10 October 2017

   Bank Bill Benchmark Rate and closing rates resource sheet

   This resource sheet explains how BKBM and closing rates operate and are regulated in New Zealand. It is aimed at local bank staff involved in trading activity or oversight of trading activity.

5. 27 September 2017

   Substantial product holder disclosures guidance

   This guidance is for anyone who has 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.

6. 1 September 2017

   Disclosing non gaap financial information guidance

   This guidance replaces our 2012 Guidance note: Disclosing non-GAAP financial information to reflect the requirements of the Financial Markets Conduct Act 2013 (FMC Act) and our findings from the review of non-GAAP financial information since 2012.

7. 25 July 2017

   Offering financial products in New Zealand and Australia under mutual recognition (MRSO) regulatory guide

   This is a guide for New Zealand and Australian issuers offering financial products or interests in managed or collective investment schemes in both countries. It explains what issuers have to do under the trans-Tasman mutual recognition scheme for offers of financial products. This is a joint guide published by the Australian Securities and Investments Commission.

8. 1 July 2017

   Offering financial products in New Zealand and Australia under mutual recognition - regulatory guide

   This is a guide for New Zealand and Australian issuers offering financial products or interests in managed or collective investment schemes in both countries. It explains what issuers have to do under the trans-Tasman mutual recognition scheme for offers of financial products. This is a joint guide published by the Australian Securities and Investments Commission (ASIC) and the New Zealand Financial Markets Authority (FMA).

9. 24 August 2016

   Aug 2016 Regulatory response guidelines

   FMA guide on regulating NZ financial markets and enforcement responses for all financial product and service providers.

10. 26 May 2016

    Fee Disclosure For Managed Funds guidance

    This guidance helps managers and supervisors understand how fees should be disclosed in Product Disclosure Statements, fund updates and, in respect of KiwiSaver schemes, confirmation information. It includes guidance on the classification and disclosure of performance-based fees, management and administration charges, underlying fund charges, and how to use third-party information.

11. 26 May 2016

    Response to consultation submissions on fee disclosure by managed funds

    Summarises industry feedback and FMA responses on proposed guidance for fee disclosure by managed funds under the FMC Act and Regulations.

12. 1 November 2015

    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.

13. 1 November 2015

    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.

14. 6 July 2015

    Risk indicators and descriptions of managed funds draft guidance

    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.

15. 20 February 2015

    Going Public - a directors guide

    FMA & IoD guide helps NZ directors evaluate going public & understand IPO processes without covering full legal obligations.