Guidance

Found 170 results. Displaying page 6 of 12

1. 14 May 2018

   AML/CFT programme guideline

   The AML/CFT programme guideline was updated in 2018 and is designed to help reporting entities develop their AML/CFT programme.
2. 18 April 2018

   General stocktake of fund updates

   General stocktake of fund updates lets investors know important information about their managed fund, such as how it is performing, what it is costing them, and what their fund is investing in. By law, they must follow a standard format designed to make it easy to compare funds and be understood by non-expert investors.
   
3. 1 April 2018

   Effective disclosure

   Effective disclosure guidance note was originally released in June 2012 and updated in 2014 to incorporate changes of the FMC Act. It is now no longer relevant.
4. Crowdfunding Service Provider

   Business

   15 March 2018

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

   Fair dealing in advertising and communications – crowdfunding and peer-to-peer lending guidance aims to ensure licensed crowdfunding and peer-to-peer lending platforms understand their obligations when advertising or communicating with customers.
5. Guidance

   13 March 2018

   Self-select retirement schemes – information for scheme managers

   Self-select retirement schemes information sheet explains how these schemes are regulated under the Financial Markets Conduct Act 2013 (FMC Act) and what exemptions and waivers may be available.
6. 28 February 2018

   Corporate governance in New Zealand: Principles and guidelines

   The Corporate governance in New Zealand: Principles and guidelines handbook assists directors, executives and advisers of non-listed and public-sector companies, and other entities, to apply corporate governance principles to their particular entity.
   
7. 28 February 2018

   Corporate governance in New Zealand: Principles and guidelines

   The Corporate governance in New Zealand: Principles and guidelines handbook assists directors, executives and advisers of non-listed and public-sector companies, and other entities, to apply corporate governance principles to their particular entity.
   
8. 15 February 2018

   Designation of certain shares in investment companies as managed investment products

   Designation of certain shares to MIPs information sheet explains the class notice which designates certain shares in investment companies as managed investment products, and the company which issues them as a managed investment scheme.
9. 14 December 2017

   AML/CFT interpreting 'ordinary course of business' guideline

   The AML/CFT interpreting 'ordinary course of business' guideline is designed to help clarify the meaning of the phrase "in the ordinary course of business" in the definition of financial institution in the AML/CFT Act 2009. The meaning of this phrase is important if your business conducts one (or more) of the activities listed under the definitions of financial institution”, “designated non-financial business or profession”, and “high-value dealer” in the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (AML/CFT Act).
10. 14 December 2017

    AML/CFT designated business group: scope guideline

    This guideline is designed to assist reporting entities to understand which obligations may be shared by members of a designated business group (DBG).
11. Conduct

    Business

    11 October 2017

    Bank Bill Benchmark Rate and closing rates guidance note

    Bank Bill Benchmark Rate and closing rates guidance note clarifies the FMA’s expectations about the trading conduct and controls for firms participating in the trading that sets BKBM and closing rates in the New Zealand market.
12. 11 October 2017

    Bank Bill Benchmark Rate and closing rates resource sheet

    Bank Bill Benchmark Rate and closing rates resource sheet explains how BKBM and closing rates operate and are regulated in New Zealand. It is aimed at local bank staff involved in trading activity or oversight of trading activity.
13. 27 September 2017

    Guidance on substantial product holder disclosures

    Guidance on substantial product holder disclosures is for anyone who has, or may have, a substantial holding in a listed issuer, fund management firms and their employees and other interested parties. It aims to assist substantial product holders in understanding their obligations and help to promote consistency in disclosures.
14. Guidance

    1 August 2017

    Offering financial products in New Zealand and Australia under mutual recognition (MRSO)

    Offering financial products in New Zealand and Australia under mutual recognition (MRSO) guide is for New Zealand and Australian issuers offering financial products or interests in managed or collective investment schemes in both countries.
15. Guidance

    31 July 2017

    Offering securities in New Zealand and Australia under mutual recognition

    The Offering securities in New Zealand and Australia under mutual recognition guide explains what issuers have to do under the trans-Tasman mutual recognition scheme when making financial product offers in Australia and New Zealand.