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Document Library

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

Found 1604 results. Displaying page 90 of 107

  1. 1 December 2014

    Consultation Fund update template and guidance for calculating risk indicators

    This paper is for market participants that manage funds and for their supervisors and investors. It explains how we propose to use two of the tools available to the FMA under the Financial Markets Conduct Act 2013 (FMC Act) and the Financial Markets Conduct Regulations 2014 (Regulations) to support the new offers regime for managed funds. We are consulting on a proposed ‘frameworks or methodologies’ (FM) template for fund updates and new guidance for calculating risk indicators.
    Tags
    Consultations, Roles, Business, Managed investment schemes
    Type
    PDF

  3. 1 December 2014

    Information Sheet Debt offers one off

    Overview of timeline for debt offers transitioning to the FMC Act.
    Tags
    Offer disclosure for equity and debt offers, Roles, Business
    Type
    PDF, Information Sheet

  8. 1 December 2014

    Transition to fmc act other types mis information sheet

    Timeline for other types of MIS to transition to the FMC Act. Other types of MIS includes a range of schemes, often tightly focused – eg property and forestry schemes. Note, excludes property and forestry schemes structured as companies (who generallyare classed as equity issuers).
    Tags
    FMC Act, Roles, Legislation, Business, Managed investment schemes, Supervisor
    Type
    PDF

  11. 1 December 2014

    Accredited Body Report Certified Public Accountants Australia 2014

    This report contains the outcome of our assessment of
    Certified Public Accountants Australia (CPA Australia) for
    the period 1 July 2013 to 30 June 2014 (the Review Period).
    Tags
    Reports and Papers, Auditors, Roles, Business, News & Insights
    Type
    PDF

  12. 1 December 2014

    Review of market disclosures

    These disclosure obligations now fall under the FMC Act and
    are largely unchanged, therefore the findings and observations contained in this report remain relevant.
    Tags
    Offer disclosure for equity and debt offers, Roles, Business, Supervisor
    Type
    PDF

  14. 1 December 2014

    Exemptions under Financial Advisers Act 2008 guidance

    This guidance note explains the our approach to granting exemptions under the Financial Advisers Act 2008. It is intended to provide answers to commonly asked questions in relation to exemptions and to provide information to potential applicants on the process for making an application.
    Tags
    Financial Adviser, Auditors, Directors, Exemptions, Roles, Business, Supervisor
    Type
    PDF

  15. 1 December 2014

    Exemptions: Financial Advisers Act 2008 guidance note

    This guidance note explains the approach of the Financial Markets Authority (the FMA) to granting exemptions under the Financial Advisers Act 2008. It is intended to provide answers to commonly asked questions in relation to exemptions and to provide information to potential applicants on the process for making an application.
    Tags
    Type
    PDF, Guidance