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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 3 of 5

  1. 1 November 2011

    Draft guidance note kiwisaver performance fees 2011

    This guidance note is designed to provide the Managers and Trustees of KiwiSaver schemes with a basis on which they can determine whether any performance fees that are proposed to be charged, or are chanrged, either directly or indirectly to a member's investment in the Scheme can be considered "not reasonable".

    https://www.fma.govt.nz/assets/Guidance/Draft-guidance-note-kiwisaver-performance-fees.pdf (1.5 MB)

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

  3. 16 August 2022

    Listed Issuer Climate Reporting Entities Flow Chart

    This flow chart, for Listed Issuers, is to help determine if your organisation is a Climate Reporting Entity. This chart is only for guidance. It should not be considered to be, or relied on as, legal advice. Please ensure you undertake your own due diligence.

    https://www.fma.govt.nz/assets/Guidance/Listed-Issuer-Climate-Reporting-Entities-Flow-Chart-.pdf (125 KB)

    Tags
    Derivative Issuer, Climate related disclosure, Roles, Business
    Type
    PDF, Guidance

  6. 13 April 2021

    Managed fund fees and value for money guidance 2021

    Guidance and principles to help managers and supervisors of KiwiSaver schemes and other managed investment schemes to demonstrate how they are meeting their existing obligations, statutory duties, and conduct expectations in respect of fees and value for money. Published in April 2021.

    https://www.fma.govt.nz/assets/Guidance/Managed-fund-fees-and-value-for-money-guidance.pdf (1.8 MB)

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

  7. 16 August 2022

    Banks, building societies and credit unions Climate Reporting Entities Flow Chart

    This flow chart, for Banks, building societies and credit unions, is to help determine if your organisation is a Climate Reporting Entity. This chart is only for guidance. It should not be considered to be, or relied on as, legal advice. Please ensure you undertake your own due diligence.

    https://www.fma.govt.nz/assets/Guidance/Banks-building-societies-credit-unions-Climate-Reporting-Entities-Flow-Chart.pdf (118 KB)

    Tags
    Banking, Climate related disclosure, Business
    Type
    PDF, Guidance

  9. 15 March 2018

    Guidance on advertising and communications in crowdfunding and peer-to-peer lending

    The aim of this guidance is to ensure licensed crowdfunding and peer-to-peer lending platforms understand their obligations when advertising or communicating with customers.

    https://www.fma.govt.nz/assets/Guidance/180313-Guidance-on-advertising-and-communications-in-crowdfunding-and-peer-to-peer-lending.pdf (676 KB)

    Tags
    Crowdfunding providers, Obligations, Fair dealing, Roles, Business
    Type
    PDF, Guidance

  14. 1 September 2014

    Guidance Governance under Part 4 of the FMC Act

    This guidance note is for Issuers of debt securities, managers of investment schemes and their supervisors. It gives guidance on the expectations of the FMA on your approach to governance and accountability responsibilities that apply to Part 4 of the FMC Act 2015.

    https://www.fma.govt.nz/assets/Guidance/140901-Guidance-Governance-under-Part-4-of-the-FMC-Act.pdf (1.3 MB)

    Tags
    Governance, Offer disclosure for equity and debt offers, Managed investment schemes, Supervisor, Roles, Business, FMA
    Type
    PDF, Guidance

  15. 25 July 2017

    20170725 - Offering financial products in New Zealand and Australia under mutual recognition (MRSO)

    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.

    https://www.fma.govt.nz/assets/Guidance/20170725-Offering-financial-products-in-New-Zealand-and-Australia-under-mutual-recognition-MRSO.pdf (253 KB)

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