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1. 18 June 2014

   Licensing guide - small DIMS businesses

   FMA guide for small businesses on applying for a DIMS licence under the FMC Act, tailored for lower-risk discretionary services.

2. 1 June 2014

   FMA’s supervision of Anti-Money Laundering and Countering Financing of Terrorism

   This 2014 document outlines the Financial Markets Authority’s (FMA’s) priorities for monitoring reporting entities under the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (AML/CFT Act).

3. 1 June 2014

   Declaration by current proposed director of licence applicant

   Declaration to be completed by current or proposed directors of a licence applicant for market services licences under the FMC Act 2013.

4. 1 June 2014

   Declaration by independent trustee individual

   Declaration form to be completed by individual independent trustees.

5. 1 June 2014

   Certificate of compliance and authority to apply applicant or their authorised person

   Certificate of compliance and authority form for applying to the FMA for a market services licence under the Financial Markets Conduct Act.

6. 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.

7. 1 May 2014

   Governance and accountability framework for restricted schemes and their trustees information sheet

   The Financial Markets Conduct (FMC) Act 2013 changes the governance and accountability framework for financial products. Find out what these changes mean for restricted schemes and their trustees.

8. 1 May 2014

   Governance and accountability framework for debt issuers and their licensed supervisors

   The Financial Markets Conduct Act 2013 changes the governance and accountability framework for financial products. Find out what these changes mean for debt issuers and their licensed supervisors.

9. 1 March 2014

   KiwiSaver schemes monitoring investment risk guidance

   This Guidance Note is designed to assist Trustees of retail non-restricted KiwiSaver schemes (Trustees), in performing their functions effectively.

10. 11 February 2014

    ASX Ltd Financial Product Market Licence 2014

    New Zealand Financial Product Market Licence (Australian Securities Exchange Limited) 2014

11. 1 February 2014

    Broker Obligations guidance note

    The focus of this guidance is on custody of client money and client property, and the key obligation of brokers to hold client money and client property on trust.

12. 18 November 2013

    Changes ahead for Financial Reporting FMA Factsheet

    Information sheet relating to the Financial Reporting Bill and what to expect: 18 November 2013.

13. 13 November 2013

    Consultation licensing derivatives issuers

    Consultation: Draft minimum standards and licence conditions for derivative issuers.

14. 13 November 2013

    Consultation licensing independent trustees

    Consultation: Draft minimum standards and licence conditions for independent trustees of restricted schemes.

15. 13 November 2013

    Consultation licensing DIMS providers

    Consultation: Draft minimum standards and licence conditions for Discretionary Investment Management Service (DIMS) providers.