Guidance

Found 168 results. Displaying page 7 of 12

1. 8 March 2017

   KiwiSaver sales and advice

   KiwiSaver sales and advice guidance note outlines our view on what advisers or providers of KiwiSaver should talk to investors about, types of advice and the use of customer incentives.
2. Conduct

   Business

   2 February 2017

   A guide to the FMA's view of conduct

   A guide to FMA's view of conduct guide describes why good conduct matters and how high standards of conduct support fair, efficient and transparent markets. This handbook is intended as a reference for directors, executives and advisers to decide how best to apply the principles for corporate governance to their particular entity.
3. 22 December 2016

   How the FMC Act will affect co-operative companies and industrial and provident societies that have issued, or intend to issue, co-operative shares

   How the FMC Act will affect co-operative companies and industrial and provident societies that have issued, or intend to issue, co-operative shares information sheet outlines the options for co-operative companies and industrial and provident societies (IPSs) (collectively referred to as co-operatives) offering and managing co-operative shares.
   
4. 15 November 2016

   How the FMC Act will affect companies and incorporated societies that manage communal facilities

   How the FMC Act will affect companies and incorporated societies that manage communal facilities information sheet describes how the FMC Act will affect companies and incorporated societies that manage communal facilities.
5. Crowdfunding Service Provider

   Business

   2 August 2016

   Crowdfunding services for property investments – meeting the eligibility criteria

   Crowdfunding services for property investments – meeting the eligibility criteria, information sheet is designed to help crowdfunding services offering property investment (‘property crowdfunding’) meet the eligibility criteria for a licensed crowdfunding service in New Zealand.
6. 2 July 2016

   How to complete your annual AML/CFT report: A quick guide to help small financial adviser businesses

   How to complete your annual AML/CFT report: A quick guide to help small financial adviser businesses has been prepared for authorised financial advisers and small financial adviser businesses that come under Regulation 16 of the Anti-Money Laundering and Countering Financing of Terrorism (Definitions) Regulations 2011 (regulations).
7. 19 May 2016

   Licensing guide for MIS managers of forestry schemes

   Licensing guide for MIS managers of forestry schemes guide supplements Part B of our licensing application guides. It explains to businesses providing a managed investment scheme (MIS) service of a forestry scheme how to approach their licence application under the Financial Markets Conduct Act 2013 (FMC Act).
8. 31 March 2016

   Guide for peer-to-peer lending services on publishing default rate information

   Guide for peer-to-peer lending services on publishing default rate information guide contains information to help peer-to-peer licensees understand and meet the minimum licensing standard to publish default rate information.
   
9. 29 February 2016

   How to calculate 0% PIR returns

   How to calculate 0% PIR returns information sheet sets out the formula we expect managers of portfolio investment entity (PIE) funds to use when calculating a fund’s return with a 0% prescribed investor rate.
10. 29 February 2016

    How performance-based fees should be disclosed

    How performance-based fees should be disclosed is an information sheet that outlines how we expect fund managers to disclose performance-based fees to investors.
11. Guidance

    2 February 2016

    Raising money from investors – a guide for community and voluntary organisations

    Raising money from investors – a guide for community and voluntary organisations information sheet outlines the options for community and voluntary organisations wanting to borrow money from investors. (This does not include donations).
12. 24 November 2015

    Guidance note on risk indicators and description of managed funds

    Guidance note on risk indicators and description of managed funds is for managers and supervisors of managed funds. It gives guidance on how to calculate risk indicators, when to update a PDS, how to describe a fund’s volatility, and in certain cases how to name your fund.
13. 22 October 2015

    Custodians’ obligations information sheet

    The Custodians' obligations information sheet outlines the obligations of custodians under the Financial Advisers (Custodians of FMCA Financial Products) Regulations 2014.
    
14. Guidance

    22 October 2015

    Custodians’ obligations

    This information sheet explains the difference between a broker and a custodian, custodians for wholesale and managed investment scheme (MIS) clients, and custodians’ statutory obligations. We also list examples of different custodial arrangements.
15. Guidance

    14 September 2015

    Research reports for IPOs under the Financial Markets Conduct Act 2013

    Research reports for IPOs information sheet discuss the availability of research reports about issuers on initial public offerings (IPOs). It is intended for issuers, research analysts and brokers.