Guidance

Found 168 results. Displaying page 9 of 12

1. 1 December 2014

   Unit Trusts: Managed investment schemes

   Transition to FMC Act Unit Trusts MIS Information Sheet
2. 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)
3. 1 December 2014

   Transition to FMC Act equity issuers: One-off

   Transition to FMC Act Equity Issuers one off Information Sheet
4. 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.
5. 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.
6. 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.
7. 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.
8. 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.
9. 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).
10. 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.
11. 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.
12. 1 December 2014

    Equity Issuers: continuous information sheet

    Equity Issuers: continuous information sheet provides information about the transition to FMC Act for equity issuers. It outlines a working example of the key activities and indicative timings for each step of the transition.
13. 1 December 2014

    Financial Advisers Act exemptions guidance note

    Financial Advisers Act exemptions guidance note updates the November 2010 guidance note issued by the (then) Securities Commission. The approach to FAA exemptions remains largely the same and the section on fees has also been updated.
14. 1 November 2014

    FMA consent to governing document amendments under clause 26, schedule 4 of the FMC Act

    FMA consent to governing document amendments under clause 26, schedule 4 of the FMC Act information sheet is an application guide for those who wish to seek FMA consent to governing document amendments under clause 26, Schedule 4 of the FMC Act.
15. 1 November 2014

    Financial regulation and registration requirements for marinas

    Financial regulation and registration requirements for marinas information sheet provides information on how the Financial Markets Conduct Act 2013 (FMC Act) changes the way interests in marinas are regulated. Marinas will generally not be regulated under the FMC Act and will no longer need to register on the Financial Service Providers Register.