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The guidance library contains FMA guidance notes, information sheets, guides and other useful reference material.
Licensing guide for MIS managers of forestry schemes guide supplements Part B of our licensing application guides. It explains to businesses providing a managed investment scheme (MIS) service of a forestry scheme how to approach their licence application under the Financial Markets Conduct Act 2013 (FMC Act).
Guide for peer-to-peer lending services on publishing default rate information guide contains information to help peer-to-peer licensees understand and meet the minimum licensing standard to publish default rate information.
How performance-based fees should be disclosed is an information sheet that outlines how we expect fund managers to disclose performance-based fees to investors.
How to calculate 0% PIR returns information sheet sets out the formula we expect managers of portfolio investment entity (PIE) funds to use when calculating a fund’s return with a 0% prescribed investor rate.
Raising money from investors – a guide for community and voluntary organisations information sheet outlines the options for community and voluntary organisations wanting to borrow money from investors. (This does not include donations).
Guidance note on risk indicators and description of managed funds is for managers and supervisors of managed funds. It gives guidance on how to calculate risk indicators, when to update a PDS, how to describe a fund’s volatility, and in certain cases how to name your fund.
The Custodians' obligations information sheet outlines the obligations of custodians under the Financial Advisers (Custodians of FMCA Financial Products) Regulations 2014.
This information sheet explains the difference between a broker and a custodian, custodians for wholesale and managed investment scheme (MIS) clients, and custodians’ statutory obligations. We also list examples of different custodial arrangements.
Research reports for IPOs information sheet discuss the availability of research reports about issuers on initial public offerings (IPOs). It is intended for issuers, research analysts and brokers.
Market misconduct risks: a guide for MIS managers information sheet is to help Managed Investment Scheme (MIS) managers understand how to manage market misconduct risks in trading activity.
The Calculation of returns for DIMS providers information sheet outlines what methodology we expect providers of Discretionary Investment Management Services (DIMS) licensed under the Financial Markets Conduct Act 2013 (Act) (DIMS licensees) to use when calculating returns required by the Financial Markets Conduct Regulations 2014 (Regulations).
Since 1 July 2014, all lawyers and incorporated law firms operating under the Exemption Notice have been required to register as a financial service provider on the financial service providers register. Read more in the New requirements for lawyers offering contributory mortgages information sheet.
FMA contingency DIMS seminar - PowerPoint presentation provides more information on: what is a DIMS, types of DIMS and decisions for AFA's currently authorised for DIMS.
Issuers registers of regulated products and the FMA's discretion under section 224 information sheet outlines the requirements relating to issuers’ registers of regulated products under Subpart 4 of Part 4 of the Financial Markets Conduct Act 2013 (FMC Act).
Custodians of managed investment schemes information sheet outline the duties and responsibilities under the Financial Markets Conduct Act 2013 (FMC Act) for custodians of registered managed investment schemes.