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Page last updated: 29 April 2024

Guidance

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

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Found 168 results. Displaying page 8 of 12

  2. 13 August 2015

    Market misconduct risks: a guide for MIS managers

    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.

  3. 26 June 2015

    Calculation of returns for DIMS providers

    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).
  4. Guidance

    1 May 2015

    New requirements for lawyers offering contributory mortgages

    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.

  5. 1 April 2015

    DIMS limit breaks under the FMC Act information sheet

    DIMS limit breaks under the FMC Act information sheet outlines the obligations of Discretionary Investment Management Services (DIMS) providers under the Financial Markets Conduct Act 2013 (FMC Act) relating to investment authority limits and reporting breaches of those limits.

  8. 24 February 2015

    Custodians of managed investment schemes

    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.

  10. 20 February 2015

    Going Public - A Director's Guide

    The Going Public - A Director's Guide handbook is intended to help directors assess whether going public is the right choice for their company and to provide an insight into the process of becoming a public company.

  11. 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.

  12. 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.
  14. 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).