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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 166 results. Displaying page 4 of 9

    • AML/CFT

    14 December 2017

    AML/CFT interpreting 'ordinary course of business' guideline

    The AML/CFT interpreting 'ordinary course of business' guideline is designed to help clarify the meaning of the phrase "in the ordinary course of business" in the definition of financial institution in the AML/CFT Act 2009. The meaning of this phrase is important if your business conducts one (or more) of the activities listed under the definitions of financial institution”, “designated non-financial business or profession”, and “high-value dealer” in the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (AML/CFT Act).

    https://fma.cwp.govt.nz/compliance/guidance-library/amlcft-interpreting-ordinary-course-of-business-guideline/

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

    27 September 2017

    Guidance on substantial product holder disclosures

    Guidance on substantial product holder disclosures 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/

    • Issuers and offers

    1 August 2017

    Offering financial products in New Zealand and Australia under mutual recognition (MRSO)

    Offering financial products in New Zealand and Australia under mutual recognition (MRSO) guide is for New Zealand and Australian issuers offering financial products or interests in managed or collective investment schemes in both countries.

    https://fma.cwp.govt.nz/compliance/guidance-library/offering-financial-products-in-new-zealand-and-australia-under-mutual-recognition-mrso/

    • Issuers and offers
    • Managed investments

    15 May 2017

    Designation of certain shares in investment companies as managed investment products

    Designation of certain shares to MIPs information sheet explains the class notice which designates certain shares in investment companies as managed investment products, and the company which issues them as a managed investment scheme.

    https://fma.cwp.govt.nz/compliance/guidance-library/designation-of-certain-shares-in-investment-companies-as-managed-investment-products-2/

    2 January 2017

    Licensing overview report 2017

    This report aims to: - Outline how we applied a flexible approach to applications. - Explain how the minimum standards and FMC Act eligibility criteria fit together. - Show the linkage between our view of good conduct and the minimum standards in our licensing guides. - Signal our future focus for monitoring to current licence holders. - Clarify the ongoing legal obligations for licence holders. We also want to highlight where we improved our own processes to make licensing faster and more efficient for applicants. Part of this process is more frequent engagement with applicants, including face-to-face meetings early on in the application process.

    https://fma.cwp.govt.nz/compliance/guidance-library/licensing-overview-report-2017/

    • FMC Act
    • Issuers and offers

    22 December 2016

    How the FMC Act will affect co-operative companies and industrial and provident societies that have issued, or intend to issue, co-operative shares

    How the FMC Act will affect co-operative companies and industrial and provident societies that have issued, or intend to issue, co-operative shares information sheet outlines the options for co-operative companies and industrial and provident societies (IPSs) (collectively referred to as co-operatives) offering and managing co-operative shares.

    https://fma.cwp.govt.nz/compliance/guidance-library/how-the-fmc-act-will-affect-co-operative-companies-and-industrial-and-provident-societies-that-have-issued-or-intend-to-issue-co-operative-shares-2/