Page last updated: 05 October 2022


The guidance library contains FMA guidance notes, information sheets, guides and other useful reference material.

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Found 168 results. Displaying page 1 of 12

  1. Guidance

    23 April 2024

    Liquidity risk management guide

    Managing liquidity risk is fundamental to managing scheme property and investments. In doing so, the law requires Managers to exercise care, diligence and skill. This FMA guide outlines how Managers and Supervisors can demonstrate they are effectively managing and overseeing liquidity risk.
  2. Guidance

    26 June 2023

    CoFI intermediated distribution

    This guidance outlines our expectations when financial institutions are distributing products and services through intermediated channels under the Conduct of Financial Institutions (CoFI) regime.
  3. Guidance

    3 February 2023

    Reasonable grounds for financial advice about financial products

    Guidance on the FMA’s approach to applying and enforcing Code Standard 3 of the Code of Professional Conduct for Financial Advice Services, in relation to financial advice about financial products purchased for investment purposes.
  4. Guidance

    30 November 2022

    Fair conduct programmes

    Information and examples to help banks, insurers and NBDTs establish, implement and maintain their fair conduct programmes as part of their financial institution licence obligations.
  5. 25 October 2022

    AML/CFT enhanced customer due diligence guideline

    The AML/CFT enhanced customer due diligence guideline assists you to conduct enhanced customer due diligence (EDD) on your customers under the Anti-Money Laundering and Countering Financing of Terrorism (AML/CFT) Act 2009 (the Act).
  6. Guidance

    11 August 2022

    Introductory guide to full licence requirements

    This guide is for businesses or individuals applying for a Financial Advice Provider (FAP) full licence. It explains how to complete your online application, including the information you will need at the time you apply when full licensing opens from 15 March 2021.
  7. 8 July 2022

    Approach to oversight of financial statements

    In this document we provide a summary of our main work in monitoring compliance with financial reporting obligations by FMC reporting entities and registered schemes (regulated entities) from 2022-2025.
  8. Guidance

    23 June 2022

    Cyber security and operational systems resilience

    This information sheet assists market services licensees (excluding benchmark administrators) licensed under Part 6 of the Financial Markets Conduct Act 2013 (FMC Act) to enhance the resilience of their cyber and operational systems. While this information sheet is designed to apply to a broad range of sectors, entities with complex cyber security and operational systems should consider the specific technology requirements and obligations that apply to their sector.