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The guidance library contains FMA guidance notes, information sheets, guides and other useful reference material.
The Financial Markets Conduct (FMC) Act 2013 changes the governance and accountability framework for financial products. Find out what these changes mean for managed investment scheme (MIS) managers and their licensed supervisors.
The Financial Markets Conduct (FMC) Act 2013 changes the governance and accountability framework for financial products. Find out what these changes mean for debt issuers and their licensed supervisors in the New governance and accountability framework for debt issuers and their licensed supervisors information sheet.
FMA's new role as regulator of conduct information sheet talks to the FMA replacing the Commerce Commission as the primary regulator of conduct in relation to financial products and services from 1 April 2014.
Monitoring investment risk in KiwiSaver schemes guidance note is designed to assist Trustees of retail non-restricted KiwiSaver schemes (Trustees), in performing their functions effectively.
This guidance is aimed at improving compliance with broker conduct obligations and trust accounting obligations in Part 3A of the Act, by setting out how FMA interprets and applies certain parts of Part 3A. The focus of this guidance is on custody of client money and client property, and the key obligation of brokers to hold client money and client property on trust.
Broker obligations guidance note is based on the law as at January 2014, and is for brokers (as defined in the Financial Advisers Act 2008 (Act)). The focus of this guidance is on custody of client money and client property, and the key obligation of brokers to hold client money and client property on trust.
Identity Verification Code of Practice provides a suggested best practice for all reporting entities conducting name and date of birth identity verification on customers (that are natural persons) they have assessed to be low to medium risk.
Future of financial markets - FMA market update. This document explains how the Financial Markets Authority (FMA) has worked on rebuilding market and investor confidence over the two year period following the global financial crisis, and the failure of finance companies.
Financial Markets Conduct Act reforms guide explains the purposes of the Financial Markets Conduct (FMC) Act 2013 and how it fits in with other financial markets reforms. There is also a big picture view of the main reforms included in the FMC Act.
The Financial Reporting Bill currently before Parliament is going to change the reporting requirements for all ‘Financial Markets Conduct (FMC) Reporting Entities’.
AML/CFT acting on behalf of a customer fact sheet. A person acting on behalf of a customer is subject to the same identification requirements as the customer. The fact sheet should be read in conjunction with the beneficial ownership guideline.
Securities trustees and statutory supervisors monitoring guidance note is for licensed securities trustees and statutory supervisors. It sets out the Financial Market Authority’s (FMA) expectations of how they will carry out their monitoring functions effectively.
Outsourcing of administration duties does not absolve the manager of a CIS from its obligations as a reporting entity under the Act. The FMA Open letter to managers of collective schemes (CIS) talks about the AML/CFT programme policies and procedures to manage any identified risks that outsoucing may present.
The AML/CFT: issuers of securities and participants in issues guide will help issuers of securities and participants in securities issues to determine if they have compliance obligations under the AML/CFT Act and if the FMA is their supervisor.
Pre-prospectus publicity guidance note sets out the Financial Markets Authority’s (FMA) view on the boundaries of pre-regulated offer publicity/advertising (also commonly referred to as ‘pre-prospectus publicity’), as required by the Securities Act 1978 (Act) and FMA’s policy on the scope of pre prospectus publicity it will support by exemption.