Document Library

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


Found 72 results. Displaying page 2 of 5

  1. 1 June 2012

    120601 Guidance kiwisaver sale and distribution

    This guidance note is for people involved with the sale and distribution of KiwiSaver schemes.
    It provides guidance on the Financial Markets Authority’s (FMA) expectations for the sale of KiwiSaver schemes within the requirements and spirit of the Financial Advisers Act 2008 (the Act). This guidance focuses on factors FMA will take into account when considering whether advice is given, and if so, whether the advice is categorised as a class or personalised service.
    Tags
    KiwiSaver providers, Managed investment schemes, Roles, Business
    Type
    PDF, Guidance
  2. 1 November 2014

    141101 Guidance Statements of investment policy and objectives (SIPO) under FMC

    This guidance note is for managers of Managed Investment Schemes and their Supervisors. It provides guidance on the expections of the FMA for your approach to SIPOs under Part 4 of the FMC Act 2013.
    Tags
    Managed investment schemes, Supervisor, Roles, Business
    Type
    PDF, Guidance
  3. 30 November 2014

    Financial regulation and registration requirements for marinas information sheet

    The Financial Markets Conduct Act 2013 (FMC Act) changes the way interests in marinas are regulated. Marinas will generally not be regulated under the FMC Act and will no longer
    need to register on the Financial Service Providers Register. Find out more. Published November 2014.
    Tags
    Supervisor, Roles, Offer information, Business
    Type
    PDF, Information Sheet, Guidance
  4. 6 March 2020

    DBG formation and change guideline 2020

    This guideline 2020 is designed to help reporting entities forming a designated business group (DBG) to understand the process for doing so. Entities may form a DBG if they are eligible to do so under the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (the AML/CFT Act) and associated regulations.
    Tags
    AML/CFT, Obligations, Roles, Designated Business Group (DBG), Business
    Type
    PDF, Guidance
  5. 3 April 2008

    080403 Performance KiwiSaver fees and ethical fund guideline

    In general terms, the costs associated with an ethical fund are similar to the costs associated with a normal equity fund when bottom-up analysis is undertaken. Hence, for funds with similar asset profiles, the Government Actuary would expect the fee levels of ethical funds to be similar to the fee levels of non-ethical funds. However if a global overlay is used, it would be expected that the additional cost necessary for the additional services to be quantified.
    Tags
    Managed investment schemes, Roles, Business
    Type
    PDF, Guidance