Guidance

Found 169 results. Displaying page 9 of 12

1. Guidance

   20 February 2015

   Content and form of Disclose register information

   Content and form of Disclose register information guidance note is for issuers and advisers who are required to produce a register entry for an offer of financial products under the FMC Act. It gives guidance on matters the FMA recommends you consider when producing your register entry. It does not prescribe a single ‘best practice’ approach to register entries as different approaches may be suitable for different businesses.
2. Guidance

   19 February 2015

   FMA DIMS seminar presentation

   The Christchurch DIMS Seminar powerpoint provides information about: What is a DIMS; when is it DIMS; when it's not DIMS; an example of DIMS; types of DIMS; contingency DIMS requirements, client agreements, investment authorities, what AFAs should do; DIMS that aren't Contingency DIMS; what is considered personalised or Class?,; decisions for AFAs currently authorised for DIMS; licensing action; tips and fees.
3. Guidance

   1 February 2015

   Certification process for registration of new KiwiSaver, superannuation and workplace savings schemes

   FMA certification process for the registration of new KiwiSaver superannuation and workplace savings schemes information sheet outlines the process for getting a certificate from the FMA to apply for registration of a new KiwiSaver, superannuation or workplace savings scheme.
4. Guidance

   1 February 2015

   Reporting SIPO limit breaks

   Reporting SIPO limit breaks information sheet outlines the reporting obligations of a Managed Investment Scheme (MIS) manager if there has been a limit break under its Statement of Investment Policy and Objectives (SIPO) under Part 4 of the Financial Markets Conduct Act 2013 (FMC Act).
5. Guidance

   19 December 2014

   Response to submissions consultation paper personalised DIMS

   This paper summarises the submissions made on our Consultation paper: Personalised DIMS under the Financial Advisers Act 2008 (“the Act”) released on 19 November 2014.
6. Guidance

   1 December 2014

   Other types: Managed investment schemes

   Other types: Managed investment schemes information sheet outlines a working example of the key activities and indicative timings for each step of the transition for a ‘other types’ of MIS. 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 are classed as equity issuers).
7. Guidance

   1 December 2014

   Corporate debt issuers information sheet

   The Corporate debt issuers information sheet provides an overview of the transition to the FMC Act for Corporate debt issuers. It outlines a working example of the key activities and indicative timings for each step of the transition for Corporate debt issuers.
8. Guidance

   1 December 2014

   Debt offers: continuous information sheet

   The Debt offers: continuous information sheet provides an overview of the transition to the FMA Act for a Debt offers – continuous. It outlines a working example of the key activities and indicative timings for each step of the transition.
9. Guidance

   1 December 2014

   Debt offers: one off information sheet

   Debt Offers: one off, information Sheet Debt offers one-off outlines the transition of Debt offers one-off (Excluding banks and non-bank deposit takers) to FMC Act. It outlines a working example of the key activities and indicative timings for each step of the transition.
10. Guidance

    1 December 2014

    Unit Trusts: Managed investment schemes

    Transition to FMC Act Unit Trusts MIS Information Sheet
11. Guidance

    1 December 2014

    Transition to the FMC Act equity issuers: Continuous or open offers

    Overview of transitional timeline for Corporate debt issuers (continuous or open offers)
12. Guidance

    1 December 2014

    Transition to FMC Act equity issuers: One-off

    Transition to FMC Act Equity Issuers one off Information Sheet
13. Guidance

    1 December 2014

    Quality financial reporting: how to improve financial statements

    Quality financial reporting: how to improve financial statements is a summary report on how to improve financial statements. It is intended for is for anyone involved in the preparation, audit and review of financial statements.
14. Guidance

    1 December 2014

    Non-bank deposit takers (NBDTs)

    Non-bank deposit takers (NBDTs) information sheet describes the transition to the FMC Act for an NBDTs (Non bank deposit takers). It outlines a working example of the key activities and indicative timings for each step of the transition.
15. Guidance

    1 December 2014

    KiwiSaver: Managed investment schemes

    KiwiSaver: Managed investment schemes information sheet describes the transition to FMC Act for a KiwiSaver MIS. It outlines a working example of the key activities and indicative timings for each step of the transition.