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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 5 of 9

    • AML/CFT

    2 June 2016

    How to complete your annual AML/CFT report: A quick guide to help small financial adviser businesses

    How to complete your annual AML/CFT report: A quick guide to help small financial adviser businesses has been prepared for authorised financial advisers and small financial adviser businesses that come under Regulation 16 of the Anti-Money Laundering and Countering Financing of Terrorism (Definitions) Regulations 2011 (regulations).

    https://fma.cwp.govt.nz/compliance/guidance-library/how-to-complete-your-annual-amlcft-report-a-quick-guide-to-help-small-financial-adviser-businesses/

    • Crowdfunding

    2 June 2016

    Crowdfunding services for property investments – meeting the eligibility criteria

    Crowdfunding services for property investments – meeting the eligibility criteria, information sheet is designed to help crowdfunding services offering property investment (‘property crowdfunding’) meet the eligibility criteria for a licensed crowdfunding service in New Zealand.

    https://fma.cwp.govt.nz/compliance/guidance-library/crowdfunding-services-for-property-investments-meeting-the-eligibility-criteria/

    • Managed investments

    19 May 2016

    Licensing guide for MIS managers of forestry schemes

    Licensing guide for MIS managers of forestry schemes guide supplements Part B of our licensing application guides. It explains to businesses providing a managed investment scheme (MIS) service of a forestry scheme how to approach their licence application under the Financial Markets Conduct Act 2013 (FMC Act).

    https://fma.cwp.govt.nz/compliance/guidance-library/licensing-guide-for-mis-managers-of-forestry-schemes/

    • Conduct
    • FMC Act
    • Issuers and offers

    2 February 2016

    Raising money from investors – a guide for community and voluntary organisations

    Raising money from investors – a guide for community and voluntary organisations information sheet outlines the options for community and voluntary organisations wanting to borrow money from investors. (This does not include donations).

    https://fma.cwp.govt.nz/compliance/guidance-library/raising-money-from-investors-a-guide-for-community-and-voluntary-organisations/

    5 October 2015

    Custodians’ obligations

    Under the regulations, custodians must meet obligations such as providing regular reports to clients and getting assurance reports from qualified auditors, among others. The regulations, enacted under the Financial Advisers Act 2008 (FA Act), relate closely to broker disclosure and conduct obligations under Part 3A of this Act. This information sheet explains the difference between a broker and a custodian, custodians for wholesale and managed investment scheme (MIS) clients, and custodians’ statutory obligations. We also list examples of different custodial arrangements.

    https://fma.cwp.govt.nz/compliance/guidance-library/custodians-obligations-2/

    • Financial advice

    17 September 2015

    AFA Authorisation Renewal Guide

    Financial advisers have been generally authorised to provide services for up to five years. They are due for authorisation renewal from 2015 onwards. Under section 58 of the FA Act, existing authorised financial advisers (AFAs) can renew for a further term, generally for five years.Refer AFA Authorisation Renewal Guide for guidance to renew your AFA authorisation.

    https://fma.cwp.govt.nz/compliance/guidance-library/afa-authorisation-renewal-guide/

    • DIMS
    • FMC Act

    26 June 2015

    Calculation of returns for DIMS providers

    The Calculation of returns for DIMS providers information sheet outlines what methodology we expect providers of Discretionary Investment Management Services (DIMS) licensed under the Financial Markets Conduct Act 2013 (Act) (DIMS licensees) to use when calculating returns required by the Financial Markets Conduct Regulations 2014 (Regulations).

    https://fma.cwp.govt.nz/compliance/guidance-library/calculation-of-returns-for-dims-providers/

    2 June 2015

    Standard Conditions for Authorised Financial Advisers

    Standard Conditions for Authorised Financial Advisers Pursuant to section 55 of the Financial Advisers Act 2008 (the Act), the Authorised Financial Adviser (AFA) is authorised by the Financial Markets Authority (the FMA) to provide the financial adviser services specified in the Certificate of Authorisation subject to terms and conditions. Those terms and conditions are detailed in this document.

    https://fma.cwp.govt.nz/compliance/guidance-library/standard-conditions-for-authorised-financial-advisers/