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

Found 1616 results. Displaying page 84 of 108

  2. 17 November 2015

    Consultation proposed variations to standard conditions of market services licences

    It aims to seek feedback from FMC Act market service
    licensees on a proposal requiring the licensees’ governing
    bodies to declare, annually, they have complied with
    conditions for their licence. It explains: proposed changes to standard conditions for FMC Act licences.
    Tags
    Consultations, Standard conditions, Licensing & registration, Business
    Type
    PDF

  3. 17 November 2015

    Consultation on annual declaration of compliance for FMC Act licensees

    This consultation is for all individuals or businesses who are
    FMC Act market service licensees. It aims to:seek feedback from FMC Act market service licensees on a proposal requiring the licensees’ governing bodies to declare, annually, they have complied with conditions for their licence.
    Tags
    Consultations, FMC Act, Legislation, Business
    Type
    PDF

  10. 5 November 2015

    Consultation paper charities debt securities exemption

    We are consulting on whether charities issuing debt securities should be subject to standard Financial Markets Conduct Act 2013 (FMC Act) obligations. The FMC Act requires organisations offering debt securities to disclose certain information and to have a licensed supervisor.
    Tags
    Consultations, Business
    Type
    PDF

  11. 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.
    Tags
    KiwiSaver providers, Roles, Business, Managed investment schemes, Supervisor
    Type
    PDF, Guidance