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The guidance library contains FMA guidance notes, information sheets, guides and other useful reference material.
Pre-prospectus publicity guidance note sets out the Financial Markets Authority’s (FMA) view on the boundaries of pre-regulated offer publicity/advertising (also commonly referred to as ‘pre-prospectus publicity’), as required by the Securities Act 1978 (Act) and FMA’s policy on the scope of pre prospectus publicity it will support by exemption.
The AML/CFT Countries Assessment Guideline is designed to help reporting entities decide when they will have to assess aspects of another country's regulatory environment and how they could do it. Under the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (the AML/CFT Act), and regulations made under the AML/CFT Act, you may need to assess aspects of another country’s regulatory environment. This may be necessary when you deal with a customer or institution resident or supervised in or from a foreign country.
The AML/CFT guide for small financial adviser businesses is designed to help financial advisers working independently or in a small business comply with their obligations under the Anti-Money Laundering and Countering the Financing of Terrorism Act 2009 (the AML/CFT Act) and associated regulations (together AML/CFT law).
KiwiSaver distribution and disclosure provides technical guidance to KiwiSaver issuers and managers. It sets out FMA's expectations of them in the promotion and distribution of their schemes.
The purpose of KiwiSaver guideline no.KSGN2: Performance fees and ethical fund fees is to provide general guidance on how the Government Actuary will view fees to be charged directly to a KiwiSaver Scheme.
KiwiSaver guideline no.KSGN1: Unreasonable fees guidance note provides general guidance on how the Government Actuary will view fees to be charged directly to a KiwiSaver Scheme.