Guidance

Found 168 results. Displaying page 3 of 12

1. Guidance

   16 June 2021

   Financial advice given for the purpose of complying with lender responsibilities

   This information sheet explains the circumstances that may exclude a lender from some Financial Markets Conduct Act 2013 (FMC Act) obligations related to financial advice. The exclusion applies only in relation to consumer credit contracts and certain credit-related insurance contracts.
2. Guidance

   14 April 2021

   Managed fund fees and value for money

   Guidance and principles to help managers and supervisors of KiwiSaver schemes and other managed investment schemes to demonstrate how they are meeting their existing obligations, statutory duties, and conduct expectations in respect of fees and value for money.
3. 14 April 2021

   KiwiSaver performance fees

   This guidance note is intended for the managers and trustees of KiwiSaver schemes. It sets out the criteria against which FMA will assess the reasonableness of KiwiSaver performance fees.
4. Guidance

   9 March 2021

   Australian Licensees Exemption Notice guidance

   This guidance note provides an overview of the exemption notice relating to Australian advice businesses giving advice to New Zealand retail clients, and the circumstances in which a business may be able to rely on it.
5. Guidance

   16 December 2020

   Complying with the prohibition on the notice of trusts on registers

   This information sheet explains the FMA’s expectations in regards to how issuers of regulated products can comply with the prohibition on the notice of trusts being entered on the register that is required to be kept by the issuer.
6. Guidance

   14 December 2020

   Disclosure framework for integrated financial products

   This document gives guidance on the advertising and disclosure expectations of the Financial Markets Authority in respect of financial products that incorporate non-financial factors.
7. Guidance

   10 December 2020

   Providing overseas firms’ research reports to retail clients

   Research reports produced by overseas firms may be distributed by New Zealand advice firms to their retail clients. This information sheet discusses how this will be regulated under the Financial Markets Conduct Act 2013 (FMC Act) from 15 March 2021.
8. 1 December 2020

   Who will need a licence to provide financial advice?

   Only those operating under licensed financial advice providers can give advice to retail clients. This advice can be provided in various ways, including directly through online facilities such as digital advice, or through financial advisers or nominated representatives.
   
9. Guidance

   1 December 2020

   Green bonds – same class exclusion

   This information sheet explains the circumstances in which an issuer can make an offer of green bonds under the same class exclusion. It also explains when the Financial Markets Authority (FMA) might consider granting an individual exemption to facilitate offers of green bonds with the same credit characteristics as quoted ‘vanilla’ bonds from the same issuer.
10. 18 November 2020

    Audit quality - a director’s guide

    Audit quality – a director’s guide offers guidance for directors and shareholders of New Zealand FMC reporting entities about how to improve audit quality.
11. Guidance

    29 May 2020

    Financial reporting – review findings and guidance for entities in light of COVID-19

    This document outlines what we have seen in our recent reviews of financial reporting, and sets out our expectations and areas that entities should consider when preparing financial statements, particularly in light of the COVID-19 situation.
12. 1 May 2020

    FMA’s reviews of financial reporting

    FMA’s reviews of financial reporting is a statement outlining our approach to financial reporting reviews, highlighting selected areas of interest for our 2019/20 reviews. It will be useful for anyone involved in preparing or approving financial reporting for FMC reporting entities. Read more.
13. Guidance

    17 April 2020

    COVID-19: KiwiSaver significant financial hardship applications

    COVID-19: KiwiSaver significant financial hardship applications – alternative steps to verify identity and financial circumstances
14. 6 March 2020

    AML/CFT designated business group formation and change guideline

    This guideline is designed to help reporting entities forming a designated business group (DBG) understand the process for doing so.
15. 22 November 2019

    AML/CFT - territorial scope of the AML/CFT Act 2009

    The AML/CFT - territorial scope of the AML/CFT Act 2009 guideline is designed to help financial institutions understand the territorial scope of the Anti-Money Laundering and Countering Financing of Terrorism Act 2009.