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1. 1 May 2018

   AML/CFT Risk Assessment Guideline

   This guideline is designed to help you conduct your money laundering and terrorism financing risk assessment (risk assessment) under the Anti-Money Laundering and Countering Financing of Terrorism (AML/CFT) Act 2009 (the Act).

2. 30 October 2014

   Reporting duties under Part 4 of the FMC Act

   This information sheet outlines the new reporting duties under the Financial Markets Conduct Act 2013 (FMC Act) for debt issuers, managers of managed investment schemes, supervisors, auditors, investment managers, administration managers, custodians and actuaries.

3. 1 October 2014

   Reporting duties under Part 4 of the FMC Act Information Sheet and Table

   This information sheet outlines the new reporting duties under the Financial Markets Conduct Act 2013 (FMC Act) for debt issuers, managers of managed investment schemes, supervisors, auditors, investment managers, administration managers, custodians and actuaries.

4. 10 May 2024

   AML/CFT Customer Due Diligence – Trusts

   This guideline is intended to support reporting entities1 to conduct customer due diligence (CDD) under the Anti-Money Laundering and Countering Financing of Terrorism (AML/CFT) Act 2009 (the Act) on their customers who are trusts.

5. 2 August 2023

   Class legislative notices summary 2023

   This is a summary of the Financial Markets Conduct Act class legislative notices we have granted (and are in force) as at 1 June 2023. It includes exemptions, designations, frameworks or methodologies, and public accountability notices.

6. 14 July 2020

   Class legislative notice summary 2020

   This is a summary of the Financial Markets Conduct Act and Financial Adviser Act class legislative notices we have granted as at 30 June 2020. It includes exemptions, designations, frameworks or methodologies, and public accountability notices

7. 6 November 2019

   Class legislative notice summary 2019

   This is a summary of the Financial Markets Conduct Act and Financial Adviser Act class legislative notices we have granted as at 30 October 2019. It includes exemptions, designations, frameworks or methodologies, and public accountability notices.

8. 3 July 2018

   Class legislative notice summary 2018

   This is a summary of the Financial Markets Conduct Act and Financial Adviser Act class legislative notices we have granted as at 2 July 2018. It includes exemptions, designations, frameworks or methodologies, and public accountability notices.

9. 10 May 2023

   Exemption notice - Sharesies Investment Management Limited

   The Notice exempts Sharesies Investment Management Limited (Sharesies) as manager of the Sharesies KiwiSaver Scheme (Scheme), and the self-select fund in the Scheme (self-select fund) from certain provisions of the Financial Markets Conduct Act 2013.

10. 18 January 2021

    Consulation Review of wholesale investor exclusion exemption

    This consultation is for all interested people including wholesale investors, banks, brokers, issuers and legal advisers. It seeks feedback to inform our review of the Financial Markets Conduct (Wholesale Investor Exclusion - $750,000 Minimum Investment) Exemption Notice 2017.

11. 9 December 2020

    Overseas research reports 2020

    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 from 15 March 2021.

12. 1 September 2017

    Disclosing non gaap financial information guidance

    This guidance replaces our 2012 Guidance note: Disclosing non-GAAP financial information to reflect the requirements of the Financial Markets Conduct Act 2013 (FMC Act) and our findings from the review of non-GAAP financial information since 2012.

13. 1 August 2014

    Fair dealing provisions transitional arrangements for advertising information sheet

    The fair dealing provisions relating to “financial products” and “financial services” make it an offence to engage in misleading or deceptive conduct in relation to financial products or to make false, misleading or unsubstantiated representations about financial products.

14. 16 May 2018

    Conflicted remuneration (soft commissions) in the life and health insurance industry

    This review examines the soft commission structures in place for life and health insurance products and how advisers respond to these incentives. This work forms part of a range of regulatory activities examining conflicted conduct in the insurance sector.

15. 16 October 2024

    Guidance on winding up requirements for registered schemes

    This document is for Supervisors and Managers of registered schemes. It provides guidance on the requirements in section 212 (Initial steps in winding up of registered scheme) and section 213 (Winding-up report) of the Financial Markets Conduct Act 2013.