Document Library

Found 76 results. Displaying page 3 of 6

1. 13 April 2021

   Managed fund fees and value for money - guidance

   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.

2. 9 March 2021

   Financial Markets Conduct (Australian Licensees) Exemption Notice 2020 guidance note

   This guidance note 2020 provides an overview of the exemption notice relating to Australian advice businesses giving advice to New Zealand retail clients, and the circumstances in which a business may be able to rely on it.

3. 14 December 2020

   Disclosure framework for integrated financial products

   The disclosure framework for integrated financial services guidance note 2020 is relevant to issuers of financial products that incorporate non-financial factors.

4. 12 May 2020

   Financial reporting – review findings and guidance for entities 2020

   The 2020 financial reporting review outlines our approach and highlightes areas of interest in our 2019 reviews.

5. 1 May 2020

   Record keeping for financial advice providers

   This information sheet sets out our expectations for how licensed financial advice providers (FAPs) can demonstrate compliance with the standard condition for record keeping. It will be useful for small and medium-sized FAPs to consider the examples provided when reviewing their internal arrangements for creating and maintaining records.

6. 22 November 2019

   Territorial scope of the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 guidance

   This guideline is designed to assist businesses to determine whether they have obligations under the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (“the AML/CFT Act”). Updated November 2019

7. 31 October 2019

   Supervisor Licensing guidance

   This guidance note is for anyone applying: for a licence to be a supervisor, or to replace an expiring supervisor licence, or to vary an existing supervisor licence.

8. 9 August 2019

   Guidance on Expired Passports as Identification for Customer Due Diligence

   The AML/CFT supervisors have become aware of the need for clear guidance on the use of expired passports as part of Customer Due Diligence procedures and how it relates to the Amended Identity Verification Code of Practice 2013 (‘the code’).

9. 26 July 2019

   Guidance for foreign passport fund operators

   This guide is for foreign passport fund operators wanting to offer interests in regulated collective investment schemes (CIS) in New Zealand under the Asia Region Funds Passport regime.

10. 1 November 2018

    Determining whether you are acquiring a business or assets guidance

    This guidance sets out our view of what constitutes a ‘business’ for these purposes, as opposed to an asset. It also sets out additional information issuers should consider disclosing for asset acquisitions.

11. 16 July 2018

    Exemption from the market index requirement guidance

    This guidance note aims to clarify what we expect of MIS managers in relation to the market index requirement for quarterly fund updates.

12. 15 May 2018

    Improving financial information in an Equity PDS - guidance

    This guidance is to assist issuers and their professional advisers in understanding the FMA’s expectations on certain aspects of the financial information section.

13. 1 May 2018

    AML/CFT Risk Assessment Guideline

    This guideline is designed to help you conduct your money laundering and terrorism financing risk assessment (risk assessment) under the Anti-Money Laundering and Countering Financing of Terrorism (AML/CFT) Act 2009 (the Act).

14. 15 March 2018

    Fair dealing in advertising and communications – crowdfunding and peer-to-peer lending guidance

    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.

15. 12 December 2017

    Open letter to managers of collective investment schemes

    Open letter to managers of collective investment schemes ahead of the anti-Money laundering and Countering Financing Terrorism Act 2009.