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Found 418 results. Displaying page 26 of 28

1. 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.

2. 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.

3. 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.

4. 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.

5. 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.

6. 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.

7. 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.

8. 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.

9. 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.

10. 27 March 2024

    Exemption Notice Silverwood Land 2015 Limited Partnership 2024

    The scheme has some remaining real estate assets that it seeks to sell. The scheme is the subject of the Financial Markets Conduct (Silverwood Land 2015 Limited Partnership) Exemption Notice 2021, which is revoked on the close of 31 March 2024.

11. 12 June 2023

    Exemption notice - Fonterra capital return

    The exemption Notice exempts Fonterra Co-operative Group Limited (Fonterra) from Part 3 of the Financial Markets Conduct Act 2013 (the FMC Act), in relation to a capital return and contemporaneous share subdivision, pursuant to a court-approved scheme of arrangement.

12. 15 March 2023

    FAP licences Classes of financial advice service

    The FMA specifies three licence classes for financial advice providers (FAP): Class 1, Class 2 and Class 3. See section 395(2) of the Financial Markets Conduct Act 2013 as amended by the Financial Services legislation Amendment Act 2019 (FMC Act). Licence classes apply to the manner in which regulated financial advice may be provided but do not limit the types of financial advice that may be provided under the licence, as the latter is addressed by the competency requirements in the Code of Professional Conduct for Financial Advice Services.

13. 13 April 2021

    Managed fund fees and value for money - guidance

    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. Published in April 2021.

14. 3 March 2016

    IFIAR Survey of Inspection Findings 2015

    In 2015, the International Forum of Independent Audit Regulators (IFIAR) conducted its fourth annual survey of findings (Survey) identified by its Members in their individual inspections of audit firms affiliated with six large, international audit firmnetworks, referred to as the GPPC networks.

15. 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).