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Guidance library

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

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Found 140 results. Displaying page 1 of 7

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

    11 July 2019

    Cyber-resilience in FMA-regulated financial services

    Cyber-resilience in FMA-regulated financial services report summarises the findings of our thematic review of cyber-resilience in New Zealand financial services and provides guidance for firms in areas where we have identified the need for improvement. It will be useful for our regulated sectors, to help ensure they comply with our expectations and best practice.

    https://fma.cwp.govt.nz/compliance/guidance-library/cyber-resilience-in-fma-regulated-financial-services/

    • Corporate governance
    • Financial reporting

    10 May 2019

    FMA’s reviews of financial reporting

    FMA has published a statement outlining our approach to financial reporting reviews, and highlighting selected areas of interest for our 2019/20 reviews. It will be useful for anyone involved in preparing or approving financial reporting for FMC reporting entities. Read more.
    FMA financial reporting May 2019 statement

    https://fma.cwp.govt.nz/compliance/guidance-library/fmas-reviews-of-financial-reporting/

    • AML/CFT
    • Financial advice
    • Supervisors

    1 October 2018

    Class exemptions for managing intermediaries

    Class exemptions for managing intermediaries information sheet explains the conditions for reporting entities whose customers include managing intermediaries and customers of managing intermediaries to be able to rely on the Anti-Money Laundering and Countering Financing of Terrorism (Class Exemptions) Notice 2018.
    181001 Information sheet: class exemptions for managing intermediaries

    https://fma.cwp.govt.nz/compliance/guidance-library/class-exemptions-for-managing-intermediaries/

    • FMC Act
    • Issuers and offers
    • Managed investments

    16 July 2018

    Guidance on the exemption from the market index requirement

    This guidance note aims to clarify what we expect of MIS managers in relation to the market index requirement for quarterly fund updates, and the Financial Markets Conduct (Market Index) Exemption Notice 2018.
    180716 Guidance on the exemption from the market index requirement

    https://fma.cwp.govt.nz/compliance/guidance-library/guidance-on-the-exemption-from-the-market-index-requirement/