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Ongoing compliance

The manager is responsible for keeping information relating to their offer up to date on the Disclose Register. Each year an annual confirmation notice, fund updates and full portfolio holdings must also be registered on the Disclose Register, and financial statements will need to be registered on another Companies Office register. The Registrar will send reminders when these are due.

Note | The scheme may have other compliance obligations. If you’re unsure what these are, please check with your legal adviser or visit FMA’s website

Fund updates

Managers must file a fund update for each applicable fund within an offer.

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Full portfolio holdings

Most managers are required to register full portfolio holdings (a list of the individual assets of a fund) for each fund within a managed investment product offer.

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Annual confirmation notice

Managers are required to file an annual confirmation notice if at least one Product Disclosure Statement within the offer is 'open'.

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Manager financial statements

As an issuer of a regulated product, you’re required to register audited financial statements within four months of the manager’s financial reporting balance date.

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Keeping offer details updated

Most offer details can be updated on the Disclose Register.

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Updating documents

To update or replace an existing PDS, you’ll need to log in to your Disclose Register Dashboard using your RealMe®login. If a document is being uploaded to the Disclose Register it needs to be accepted by the Registrar.

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Withdrawing an offer

You can withdraw an offer on the Disclose Register before it opens.

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Finalising an offer

If an offer is no longer active you should finalise it on the Disclose Register.

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