Source: https://www.fma.govt.nz/compliance/guidance-library/?start=100
Timestamp: 2020-04-06 08:10:22
Document Index: 5294904

Matched Legal Cases: ['art 4', 'art 4', 'art-4', 'art 4', 'art 4', 'art-4']

Found 161 results. Displaying page 6 of 9
Other types: Managed investment schemes
Other types: Managed investment schemes information sheet outlines a working example of the key activities and indicative timings for each step of the transition for a ‘other types’ of MIS. Other types of MIS includes a range of schemes, often tightly focused – eg property and forestry schemes. Note, excludes property and forestry schemes structured as companies (who are classed as equity issuers).
https://www.fma.govt.nz/compliance/guidance-library/other-types-managed-investment-schemes/
KiwiSaver: Managed investment schemes
KiwiSaver: Managed investment schemes information sheet describes the transition to FMC Act for a KiwiSaver MIS. It outlines a working example of the key activities and indicative timings for each step of the transition.
https://www.fma.govt.nz/compliance/guidance-library/kiwisaver-managed-investment-schemes/
Corporate debt issuers
The Corporate debt issuers information sheet provides an overview of the transition to the FMC Act for Corporate debt issuers. It outlines a working example of the key activities and indicative timings for each step of the transition for Corporate debt issuers.
https://www.fma.govt.nz/compliance/guidance-library/corporate-debt-issuers/
Debt offers: continuous
The Debt offers: continuous information sheet provides an overview of the transition to the FMA Act for a Debt offers – continuous. It outlines a working example of the key activities and indicative timings for each step of the transition.
https://www.fma.govt.nz/compliance/guidance-library/debt-offers-continuous/
Quality financial reporting: how to improve financial statements
Quality financial reporting: how to improve financial statements is a summary report on how to improve financial statements. It is intended for is for anyone involved in the preparation, audit and review of financial statements.
https://www.fma.govt.nz/compliance/guidance-library/quality-financial-reporting-how-to-improve-financial-statements/
Debt offers: one off
Debt Offers: one off, information Sheet Debt offers one-off outlines the transition of Debt offers one-off (Excluding banks and non-bank deposit takers) to FMC Act. It outlines a working example of the key activities and indicative timings for each step of the transition.
https://www.fma.govt.nz/compliance/guidance-library/debt-offers-one-off/
Equity Issuers: continuous
Equity Issuers: continuous information sheet provides information about the transition to FMC Act for equity issuers. It outlines a working example of the key activities and indicative timings for each step of the transition.
https://www.fma.govt.nz/compliance/guidance-library/equity-issuers-continuous/
Effective disclosure guidance note was originally released in June 2012 and updated in 2014 to incorporate changes of the FMC Act. It is now no longer relevant.
https://www.fma.govt.nz/compliance/guidance-library/effective-disclosure/
Transition to FMC Act equity issuers: One-off
Transition to FMC Act Equity Issuers one off Information Sheet
https://www.fma.govt.nz/compliance/guidance-library/transition-to-fmc-act-equity-issuers-one-off/
Non-bank deposit takers (NBDTs) information sheet describes the transition to the FMC Act for an NBDTs (Non bank deposit takers). It outlines a working example of the key activities and indicative timings for each step of the transition.
https://www.fma.govt.nz/compliance/guidance-library/non-bank-deposit-takers-nbdts-information-sheet/
Transition to the FMC Act equity issuers: Continuous or open offers
Overview of transitional timeline.
https://www.fma.govt.nz/compliance/guidance-library/transition-to-the-fmc-act-equity-issuers-continuous-or-open-offers/
Superannuation: Managed investment schemes
Transition to FMC Act Superannuation MIS Information Sheet
https://www.fma.govt.nz/compliance/guidance-library/superannuation-managed-investment-schemes/
Financial Advisers Act exemptions guidance note
Financial Advisers Act exemptions guidance note updates the November 2010 guidance note issued by the (then) Securities Commission. The approach to FAA exemptions remains largely the same and the section on fees has also been updated.
https://www.fma.govt.nz/compliance/guidance-library/fa-act-exemptions-guidance/
Unit Trusts: Managed investment schemes
Transition to FMC Act Unit Trusts MIS Information Sheet
https://www.fma.govt.nz/compliance/guidance-library/unit-trusts-managed-investment-schemes/
Statements of investment policy and objectives (SIPO) under the FMC Act
This guidance note is for managers of managed investment schemes and their supervisors.
https://www.fma.govt.nz/compliance/guidance-library/statements-of-investment-policy-and-objectives-sipo-under-the-fmc-act-2/
FMA consent to governing document amendments under clause 26, schedule 4 of the FMC Act
FMA consent to governing document amendments under clause 26, schedule 4 of the FMC Act information sheet is an application guide for those who wish to seek FMA consent to governing document amendments under clause 26, Schedule 4 of the FMC Act.
https://www.fma.govt.nz/compliance/guidance-library/fma-consent-to-governing-document-amendments-under-clause-26-schedule-4-of-the-fmc-act/
Financial regulation and registration requirements for marinas
Financial regulation and registration requirements for marinas information sheet provides information on how the Financial Markets Conduct Act 2013 (FMC Act) changes the way interests in marinas are regulated. Marinas will generally not be regulated under the FMC Act and will no longer need to register on the Financial Service Providers Register.
https://www.fma.govt.nz/compliance/guidance-library/financial-regulation-and-registration-requirements-for-marinas/
Reporting duties under Part 4 of the FMC Act
Reporting duties under Part 4 of the FMC Act information sheet outlines the new reporting duties under the Financial Markets Conduct Act 2013 (FMC Act) for debt issuers, managers of managed investment schemes, supervisors, auditors, investment managers, administration managers, custodians and actuaries.
https://www.fma.govt.nz/compliance/guidance-library/reporting-duties-under-part-4-of-the-fmc-act/
Getting the best outcome from your AML/CFT audit
Getting the best outcome from your AML/CFT audit is intended to help our reporting entities, especially small financial adviser businesses, get value from their audit.
https://www.fma.govt.nz/compliance/guidance-library/getting-the-best-outcome-from-your-amlcft-audit/
Governance under part 4 of the FMC Act guidance note is for issuers of debt securities, managers of managed investment schemes and their supervisors. It gives guidance on the expectations FMA has for your approach to the governance responsibilities and accountabilities that apply under Part 4 of the Financial Markets Conduct Act 2013.
https://www.fma.govt.nz/compliance/guidance-library/governance-under-part-4-of-the-fmc-act/