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Guidance library

This guidance library contains the FMA’s guidance notes, information sheets, guides and other reference material. 

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Found 127 results. Displaying page 1 of 7

    • P2P lending

    11 June 2018

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

    This guide contains information to help peer-to-peer licensees understand and meet the minimum licensing standard to publish default rate information. It sets out what ‘default’ means, when licensees must comply with the standard and guidelines on how to publish fair, clear and transparent information.
    Publishing default information for peer to peer lending services

    https://fma.cwp.govt.nz/compliance/guidance-library/guide-for-peer-to-peer-lending-services-on-publishing-default-rate-information/

    • Corporate governance
    • Crowdfunding
    • DIMS
    • Financial reporting
    • Managed investments
    • P2P lending
    • Supervisors

    30 May 2018

    Compliance Assurance Programmes

    We have published an information sheet that explains the Financial Markets Authority’s expectations for a compliance assurance programme (CAP). A CAP is the programme of independent checks to test whether an entity’s processes and controls are effective in ensuring the compliance of the business.
    Compliance assurance programmes information sheet

    https://fma.cwp.govt.nz/compliance/guidance-library/compliance-assurance-programmes/

    • FMC Act
    • Issuers and offers
    • Managed investments
    • Supervisors

    27 September 2017

    Guidance on substantial product holder disclosures

    This guidance is for: anyone who has, or may have, a substantial holding in a listed issuer, fund management firms and their employees and other interested parties. It aims to assist substantial product holders in understanding their obligations and help to promote consistency in disclosures.

    https://fma.cwp.govt.nz/compliance/guidance-library/guidance-on-substantial-product-holder-disclosures/

    • Managed investments

    19 July 2017

    Fee disclosure by managed funds

    This guidance helps managers and supervisors understand how fees should be disclosed in Product Disclosure Statements, fund updates and, in respect of KiwiSaver schemes, confirmation information. It includes guidance on the classification and disclosure of performance-based fees, management and administration charges, underlying fund charges, and how to use third-party information.

    https://fma.cwp.govt.nz/compliance/guidance-library/fee-disclosure-by-managed-funds/