Filing full portfolio holdings

The individual assets of each fund within an offer

Managers need to file full portfolio holdings for each applicable fund within an offer.We need to receive full portfolio holdings from you within 40 working days of the due date and, once accepted, we'll advise the Financial Markets Authority (FMA). You'll receive an email reminder from us when these are due.

Full portfolio holdings

Managers must provide full portfolio holdings for schemes that are open, closed to new investors, or closed to all investment. There is no fee for filing full portfolio holdings.

How often you need to file

Full portfolio holdings for applicable schemes that are open, closed to new investors or closed to all investment must be filed on a 6-monthly basis, within 40 days of 31 March and 30 September.

Filing full portfolio holdings on time

If full portfolio holdings are not provided on time, we will advise the FMA that these are overdue.

We cannot waive breaches or grant extensions in filing time. If you want to discuss late or overdue filing contact the FMA.

FMA contact details Financial Markets Authority (FMA) website

Providing managed fund data

You can file your full portfolio holdings data by:

  • uploading a file using our data template, or
  • using an Application Programming Interface (API), which is a web-based interface.

Providing managed fund data

Before you file full portfolio holdings

Before you send us your full portfolio holdings, we recommend you read our:

Who can file full portfolio holdings

To file full portfolio holdings 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.

Setting up your online account

Filing full portfolio holdings

To file full portfolio holdings, log in to your organisation’s online account and follow these steps.

  1. Under the Things to Do tab, select ‘View’ next to your portfolio holdings reminder.
  2. In the page containing the fund details, either:
    • select the ‘File full portfolio holdings’ button in the notification at the top of the screen, or
    • open the ‘I want to…’ drop-down menu and select ‘File full portfolio holdings’.
  3. Complete the online form by dragging or uploading your completed full portfolio holdings template.
  4. Tick the declaration and select Submit.

Your fund will be automatically updated as soon as you have submitted the filing with the details becoming publicly available, and we will advise the Financial Markets Authority (FMA) that the full portfolio holdings have been filed.

Revising full portfolio holdings

Within the Disclose Register you can edit data and replace documents associated with a specific full portfolio holdings.

Revise your most recent full portfolio holdings

To revise your most recently filed full portfolio holdings, log into your organisation's online services account and follow these steps.

  1. Under the Organisation portfolio section on the right side of your screen, search for and select the offer whose fund you want to update.
  2. In the page containing the offer details, open the ‘I want to…’ drop-down menu and select ‘Maintain offer’.
  3. Go to the ‘Investment options’ section and select ‘Edit’ next to the fund you want to update.
  4. Scroll down to the Full Portfolio Holdings section, select Archive to remove the current full portfolio holdings data, and drag or upload the replacement full portfolio holdings template.
    • If there is no document to archive, drag or upload your full portfolio holdings template.
  5. Review the details of your update, then tick the declaration and select Submit.
  6. The update will show as a maintenance filing under the Filings tab of your offer.

Revise your historic full portfolio holdings

To revise a full portfolio holdings filed earlier than your most recently filed full portfolio holdings, log into your organisation's online services account and follow these steps.

  1. Under the Organisation portfolio section on the right side of your screen, search for and select the offer whose fund you want to update.
  2. In the page containing the offer details go to the ‘Investment options’ tab and select the fund you want to file revised full portfolio holdings for.
  3. On the ‘Filings’ tab of that fund, find the full portfolio holdings filing you want to revise and click the ‘Revise’ button.
  4. Select Archive next to the previously filed full portfolio holdings document and then drag or upload your replacement full portfolio holdings template.
  5. Tick the declaration checkbox and select Submit.
  6. The revision will show against the original full portfolio holdings under the Filings tab of your fund.

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