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Document Library

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

Found 1608 results. Displaying page 79 of 108

  2. 2 June 2016

    Mark Andrew Turnock - Judgment

    High Court Judgment in the case against Mark Andrew Turnock 2 June 2016.
    Tags
    Court decision, Enforcement
    Type
    PDF

  3. 2 June 2016

    Eligibility criteria - Crowdfunding services for property investments

    This information sheet is designed to help crowdfunding services offering property investment (‘property crowdfunding’) meet the eligibility criteria for a licensed crowdfunding
    service in New Zealand.
    Tags
    Crowdfunding providers, Roles, Licence guide, Licensing & registration, Business
    Type
    PDF, Information Sheet

  4. 1 June 2016

    Investor Confidence Research 2016

    This is the fourth year that FMA has carried out investor research measuring attitudes towards, and investment in New Zealand’s financial markets.
    Tags
    Reports and Papers, FMA, News & Insights
    Type
    PDF, Research

  5. 1 June 2016

    Auditor regulation and oversight plan 2016 2019

    Audits of FMC reporting entities’ financial statements are designed to increase investor confidence. One of the ways
    we ensure these audits are done well is by reviewing audits at registered audit firms. This plan is for the 2016-2019 period.
    Tags
    Regulation, Reports and Papers, Auditors, Roles, Business, News & Insights
    Type
    PDF

  6. 1 June 2016

    Factors influencing insurance policy survival

    In our study of what factors influence policy survival, we used the Cox proportional hazard model to identify
    key factors. We found that commission structure was consistently the most significant factor influencing policy
    survival rates and, within the commission structure, clawback was a major factor.
    Tags
    Financial Adviser, Reports and Papers, Roles, Financial Advice Provider, Business, FMA, News & Insights
    Type
    PDF

  7. 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.
    Tags
    KiwiSaver providers, Roles, Business, Managed investment schemes
    Type
    PDF, Guidance

  8. 26 May 2016

    Response to consultation submissions on fee disclosure by managed funds

    We have provided guidance to help managers and supervisors understand the new disclosure obligations, and the various categories of fees and charges they must disclose.
    Tags
    Consultations, Roles, Business, Managed investment schemes, Supervisor
    Type
    PDF, Guidance, Information Sheet

  10. 19 May 2016

    Licensing guide - MIS managers of forestry schemes

    This guide supplements Part B of our licensing application guides. It explains to businesses providing a managed
    investment scheme (MIS) service of a forestry scheme how to approach their licence application under the Financial
    Markets Conduct Act 2013 (FMC Act).
    Tags
    Licence guide, Roles, Licensing & registration, Business, Managed investment schemes
    Type
    PDF

  11. 19 May 2016

    FMA legislative notices supporting the FMC Act

    To support businesses implementing the Financial Markets Conduct Act 2013 (FMC Act), the FMA has been working, in consultation with the sector, on various legislative tools such as exemptions, frameworks, methodologies, public accountability notices, and designations to help businesses and individuals comply with the Act.
    Tags
    FMC Act, Legislation, Business
    Type
    PDF, Notice

  12. 17 May 2016

    Consultation: Class exemption for property schemes

    Consultation to address the specific characteristics of property schemes (MIS) that recognises that full compliance with some specific requirements may be unnecessary and overly burdensome.
    Tags
    Roles, Consultations, Business, Supervisor
    Type
    PDF

  13. 17 May 2016

    Exemption notice - some property schemes

    The FMA believes that property schemes generally can and should comply with the same licensing and governance requirements under the FMC Act as other managed investment schemes (MIS). However given the characteristics of property schemes, we recognise that full compliance with some specific requirements may be unnecessary, and the cost is likely to outweigh benefits for
    investors. As a result, we have approved class exemptions for property schemes and their custodians to address these matters.
    Tags
    Client money or property services provider, Exemptions, Roles, Business
    Type
    PDF

  15. 6 May 2016

    Exemption notice - IAG Ltd

    Financial Markets Conduct Exemption Notice 2016: Insurance Australia Group Limited.
    Tags
    Exemptions, Business
    Type
    PDF