Filing annual confirmation notices
Provide a notice when at least 1 Product Disclosure Statement (PDS) is open
Part of: Managed fund offers
Managers need to provide an annual confirmation notice to us when at least 1 Product Disclose Statement (PDS) within the offer is open. This needs to be done no later than 13 months after the date the first PDS was registered, or the previous confirmation date.
Who can file a notice
To file a confirmation notice you must:
- have a RealMe® login
- be a registered user of your organisation's online account
- have authority to act on behalf of the issuer.
Filing a confirmation notice
You will receive email reminders from us when your next confirmation notice is due. A filing fee will be payable.
File a confirmation notice
Before providing us with your confirmation notice, you should review it and make sure you are only including the information that is required. Make sure you double-check all your information. If your filing is rejected, this may mean you need to file a new confirmation notice and pay the fee again.
To file a confirmation notice, log in to your organisation’s online account and follow these steps.
- Under the Things to Do tab, select ‘View’ next to your confirmation notice reminder.
- You can also look under the Organisation portfolio section on the right side of your screen, and search for and select the offer for which you want to file a confirmation notice.
- In the page containing the offer details, either:
- select the ‘File confirmation notice’ button in the notification at the top of the screen, or
- open the ‘I want to…’ drop-down menu and select ‘File confirmation notice’.
- Complete the online form and upload a copy of your confirmation notice.
- Tick the declaration and select Submit.
- Pay the filing fee, if applicable.
Once you have completed your payment, you will receive onscreen confirmation that your confirmation notice has been sent to us for acceptance. Your application will appear in your dashboard under the ‘Things in progress’ tab.
Once your confirmation notice has been accepted we will email you confirmation, it will be publicly available on the Disclose Register and we will advise the Financial Markets Authority (FMA).
We may not accept for some reason
We may return your confirmation notice filing for you to amend and resubmit it to us, for example, if the document has not been signed and dated.
In these situations, we will email you and return your confirmation notice filing with a ‘Revise’ flag under the ‘Things to Do’ section of your dashboard. You can make the required corrections to your filing by selecting the ‘Continue’ option next to that entry.
You have 5 wording days from our notification to make any corrections and return the confirmation notice to us to avoid paying the fee twice.
Some situations may require us to reject your confirmation notice filing. In these situations, we will email you and your confirmation notice will show as rejected in the ‘Past Activity’ section of your dashboard.
If the filing is rejected, you will need to complete a new confirmation notice filing and pay the fee again.
Confirmation notices that are not filed on time
If the confirmation notice is not provided on time, we will advise FMA that it is overdue.
We cannot waive breaches or grant extensions in filing time. If you want to discuss late or overdue filing contact the FMA.
Changing a confirmation date
You can change your confirmation date as long as your new date does not exceed 13 months after the date the first PDS was registered, or the previous confirmation date.
Other guides in
Managed fund offers
- Managed fund offers registration process
- Managed fund offer fees
- Filing fund updates
- Filing full portfolio holdings
- Filing manager financial statements
- Keeping managed fund offer details up to date
- Uploading managed fund offer documents
- Withdrawing or finalising offers
- Managed fund offers legislative reference guide
- Providing managed fund data