Keeping foreign passport fund offers up to date

To update offer details, log in to your organisation's online account and follow these steps.

1. Under the Organisation portfolio section on the right side of your screen, search for and select the offer 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. Make the required changes to your offer. You can, for example:
   • open or close your offer
   • add or remove participants
   • change the name of your offer
   • change the status of your Product Disclosure Statement (PDS)
   • upload new documents and archive existing ones
   • correct data entry errors
4. Review the updated details of your offer, then tick the declaration and select Submit.

Any changes you make will be applied as soon as you submit your updated details, with the exception of new documents. If you add any new documents as part of your update, they must first be accepted by us.

Once your documents have been accepted we will email you confirmation, they will be available on the Disclose Register and we will advise the Financial Markets Authority (FMA).

We may need more information

We may return your document filing for you to amend and resubmit it to us. Some reasons may include the document being illegible or page numbers being inconsistent.

In these situations, we will email you and return the document 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.

We may not accept for some reason

Some situations may require us to reject your document filing.

In these situations, we will notify you by email and your filing will show as rejected in the ‘Past Activity’ section of your dashboard.

If your filing is rejected, you will need to complete a new filing and pay a new set of fees, if any.

Overseas issuers making an offer under the Asia Region Funds Passport regulations are required to file an annual confirmation notice.

You will receive email reminders from us when your next confirmation notice is due. A filing fee will be payable.

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 an annual confirmation notice, log in to your organisation’s online account and follow these steps.

1. Under the Organisation portfolio section on the right side of your screen, search for and select the offer for which you want to file a confirmation notice.
2. In the page containing the offer details, open the ‘I want to…’ drop-down menu and select ‘File confirmation notice’.
3. Complete the online form and upload a copy of your confirmation notice.
4. Tick the declaration and select Submit.
5. Pay the confirmation fee and levy.

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, where you have uploaded a draft document by mistake.

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 working days from our notification to make any corrections and return the confirmation notice filing to us to avoid paying the fee twice.

Some situations may require us to reject the confirmation notice filing. If rejected, we will email you and the filing 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.

Overseas issuers making an offer under the Asia Region Funds Passport regulations are required to lodge financial statements in New Zealand.

There is no fee charged for filing financial statements.

You will receive email reminders when your financial statements are due to be filed on the Disclose Register.

To file financial statements, log in to your organisation’s online account and follow these steps.

1. Under the Organisation portfolio section on the right side of your screen, search for and select the offer for which you want to file financial statements.
2. In the page containing the offer details, open the ‘I want to…’ drop-down menu and select ‘Maintain offer’.
3. Navigate to the ‘Documents’ tab and upload your financial statement document as 'Other material information’.
4. Continue to the ‘Review and Submit’ tab, tick the declaration and select Submit.

When you upload your new document, you should also make sure that the previous year’s financial statements are archived.

Once you have submitted your financial statements, you will receive onscreen confirmation that they have been sent to us for acceptance. Your financial statement filing will appear in your dashboard under the ‘Things in progress’ tab.

Once your financial statements have been accepted by us we will email you confirmation, they will be publicly available on the Disclose Register and we will advise the Financial Markets Authority (FMA).

If the financial statements are not provided on time, we will advise FMA that they are overdue. We can't waive breaches or grant extensions in filing time. If you want to discuss late or overdue filing contact the FMA.

Overseas issuers making an offer under the Asia Region Funds Passport regulations are required to lodge an annual report in New Zealand.

There is no fee charged for filing an annual report.

You will receive email reminders when your annual report is due to be filed on the Disclose Register.

To file an annual report, log in to your organisation’s online account and follow these steps.

1. Under the Organisation portfolio section on the right side of your screen, search for and select the offer for which you want to file an annual report.
2. In the page containing the offer details, open the ‘I want to…’ drop-down menu and select ‘Maintain offer’.
3. Navigate to the ‘Documents’ tab and upload your annual report document as 'Other material information’.
4. Continue to the ‘Review and Submit’ tab, tick the declaration and select Submit.

When you upload your new document, you should also make sure that the previous year’s annual report is archived.

Once you have submitted your annual report, you will receive onscreen confirmation that your document has been sent to us for acceptance. Your annual report filing will appear in your dashboard under the ‘Things in progress’ tab.

Once your annual report has been accepted by us we will email you confirmation, they will be publicly available on the Disclose Register and we will advise the Financial Markets Authority (FMA).

If the annual report 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.

Overseas issuers making an offer under the Asia Region Funds Passport regulations are required to file quarterly fund updates in New Zealand.

There is no fee charged for filing a fund update.

You'll receive email reminders when filing is due on the Disclose Register.

To file a fund update, log in to your organisation’s online account and follow these steps.

1. Under the Organisation portfolio section on the right side of your screen, search for and select the offer for which you want to file a fund update.
2. In the page containing the offer details, open the ‘I want to…’ drop-down menu and select ‘Maintain offer’.
3. Navigate to the ‘Documents’ tab and upload the fund update document as 'Other material information’.
4. Continue to the ‘Review and Submit’ tab, tick the declaration and select Submit.

When you upload your new documents, you should also make sure that the previous quarter’s fund update documents are archived.

Once you have submitted your application, you will receive onscreen confirmation that your document has been sent to us for acceptance. Your fund update filing will appear in your dashboard under the ‘Things in progress’ tab.

Once your fund updates have been accepted by us we will email you confirmation, they will be publicly available on the Disclose Register and we will advise the Financial Markets Authority (FMA).

Filing fund updates on time

If the fund update 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.

Providing managed fund data

If you are uploading fund data to the Disclose Register you need to use our templates, which are available in 2 file formats (XLSX (Excel) and CSV).

General fund data template

• General fund data template [EXCEL, 39 KB]
• General fund data template [CSV, 3 KB]

Fund returns data template

• Fund returns data template [EXCEL, 141 KB]
• Fund returns data template [CSV, 165 bytes]

Overseas issuers making an offer under the Asia Region Funds Passport regulations are required to file 6-monthly full portfolio holdings in New Zealand.

There is no fee charged for filing full portfolio holdings data.

You will receive email reminders when your full portfolio holdings are due to be filed on the Disclose Register.

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

1. Under the Organisation portfolio section on the right side of your screen, search for and select the offer for which you want to file full portfolio holdings.
2. In the page containing the offer details, open the ‘I want to…’ drop-down menu and select ‘Maintain offer’.
3. Navigate to the ‘Documents’ tab and upload the full portfolio holdings document as 'Other material information’.
4. Continue to the ‘Review and Submit’ tab, tick the declaration and select Submit.

When you upload your new documents, you should also make sure that the previous full portfolio holdings documents are archived.

Once you have submitted your filing, you will receive onscreen confirmation that your document has been sent to us for acceptance. Your full portfolio holdings filing will appear in your dashboard under the ‘Things in progress’ tab.

Once your full portfolio holdings data has been accepted by us we will email you confirmation, they will be publicly available on the Disclose Register and we will advise the Financial Markets Authority (FMA).

Filing full portfolio holdings on time

If the full portfolio holdings isn't provided on time, we'll advise FMA that it's overdue. We can't waive breaches or grant extensions in filing time. If you want to discuss late or overdue filing contact the FMA.

Providing managed fund data

If you are uploading fund data through the Disclose Register you need to use our templates, which are available in 2 file formats (XLSX (Excel) and CSV).

Full portfolio holdings template

• Full portfolio holdings template [EXCEL, 197 KB]
• Full portfolio holdings template [CSV, 189 bytes]