Guidance Library | Financial Markets Authority

Superannuation: Managed investment schemes

Transition to FMC Act Superannuation MIS Information Sheet

Creation of new unit trusts during transition period

Creation of new unit trusts during transition period information sheet responds to queries by market participants about the ability to create new unit trust schemes under the Unit Trusts Act 1960 between 1 December 2014 and 30 November 2015.

Fair dealing provisions: Transitional arrangements for advertising information sheet

Fair dealing provisions: Transitional arrangements for advertising information sheet is for Issuers and third parties who advertise in order to promote offers during the period 1 April 2014 to 30 November 2016 (‘transition period’) need to be aware of new FMC Act fair dealing provisions and how they apply.

When one-off or occasional issuers are required to register

When one-off or occasional issuers are required to register information sheet clarifies when one-off or occasional issuers must register on the Financial Service Providers Register (FSPR) under the Financial Service Providers (Registration and Dispute Resolution) Act 2008 (in addition to any disclosure obligations that they may have under the Financial Markets Conduct Act 2013).

Quick guide to licence applications for small businesses providing DIMS

Quick guide to licence applications for small businesses providing DIMS supplements our main licensing application guide. It outlines how a small business providing lower risk Discretionary Investment Management Services (DIMS) can approach an application for a DIMS licence under the Financial Markets Conduct Act 2013 (FMC Act)..

New governance and accountability framework for restricted schemes and their trustees

The Financial Markets Conduct (FMC) Act 2013 changes the governance and accountability framework for financial products. Find out what these changes mean for restricted schemes and their trustees in the New governance and accountability framework for restricted schemes and their trustees information sheet.

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 managed investment scheme (MIS) managers and their licensed supervisors.

New governance and accountability framework for debt issuers 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

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

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.

Guidance Note: Broker Obligations

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

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.

Future of financial markets - FMA market update

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

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.

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