Search results

Found 78 results. Displaying page 4 of 6

1. 4 September 2015

   Exemption Notice 2015 - Securities Act Augusta Funds Management Limited Sherbrooke Road Partnership

   Securities Act Augusta Funds Management Limited Sherbrooke Road Partnership Exemption Notice 2015

2. 24 February 2015

   Exemption notice - Securities Act Augusta Funds Management Limited Southgate Proportionate Ownership Scheme

   Securities Act Augusta Funds Management Limited Southgate Proportionate Ownership Scheme Exemption Notice 2015

3. 22 October 2015

   Custodians obligations information sheet

   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.

4. 23 October 2015

   Exemption notice - Securities Act Augusta Funds Management Limited Shands Road Limited Partnership

   Financial Markets Conduct Exemption Notice 2015: Augusta Funds Management Limited - Shands Road Limited partnership.

5. 30 May 2014

   new governance and accountability framework for mis managers and their licensed supervisors 2014

   The FMC Act introduces an accountability framework for managed investment schemes (MIS). The requirements include a statutory duty of care on both managers and supervisors of managed investment schemes. Both must also act in the best interests of investors. Managers and supervisors need to have a clear understanding of their respective roles and understand they will be held to account for their actions.

6. 25 February 2016

   Performance Fee Disclosure information sheet

   This information sheet outlines how we expect fund managers to disclose performance-based fees to investors.

7. 12 March 2018

   Consultation: Content of regulatory returns for licensed DI MIS managers and DIMS providers

   This consultation is for licensed derivative issuers, managers of managed investment schemes, providers of discretionary investment management services, and other interested parties. It aims to gain feedback on our proposals for regulatory returns for licensed DI, MIS managers and DIMS providers.

8. 24 February 2015

   Reporting SIPO limit breaks Information sheet

   This information sheet outlines the reporting obligations of a Managed Investment Scheme (MIS) manager if there has been a limit break under its Statement of Investment Policy and Objectives (SIPO) under Part 4 of the Financial Markets Conduct Act 2013 (FMC Act).

9. 17 April 2020

   Liquidity risk management - good practice guide

   The Financial Markets Authority (FMA) has published this good practice guide to provide Managers of Managed Investment Schemes (MIS Managers) with details of good practices for liquidity management and stress testing. We encourage the adoption of these practices in a manner suited to each individual fund/s.

10. 11 June 2018

    Key findings from the recent re-licensing of supervisors

    During 2016 the International Monetary Fund (IMF) undertook a review of the New Zealand financial sector. The Financial Stability Assessment Programme report recommended that the FMA ”continue to engage with Supervisors to ensure that they take a consistent approach to their supervision of Managed Investment Scheme (MIS) managers”

11. 25 June 2018

    Consultation paper Proposed exemption from requirement to name assets

    This consultation is for MIS managers, advisers, supervisors, investors and seeks feedback on a proposed exemption from the requirement to name assets.

12. 4 August 2017

    Consultation Paper Market Index

    This consultation is for MIS managers, advisers, supervisors, and investors. It seeks feedback on a proposed exemption from the market index requirement.

13. 16 July 2018

    Exemption from the market index requirement guidance

    This guidance note aims to clarify what we expect of MIS managers in relation to the market index requirement for quarterly fund updates.

14. 13 March 2023

    Market index exemption renewal consultation paper

    Consultation document: FMA is seeking feedback on whether to renew a class exemption for MIS managers where assets do not have an appropriate market index.

15. 18 May 2022

    Value for Money Industry Report

    FMA and Supervisor report for Managed Investment Scheme Managers and KiwiSaver Managers that covers FMA and Supervisor findings from the Value for Money implementation pilot.