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Consultation is an important part of our policy development process. Our consultation is designed to encourage quality engagement from interested businesses and individuals, balanced with the need to complete policy work within the required timeframe. When consulting on policy development we will:
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Consultation paper: Charities raising funds through debt securities. Read more here.
Consultation paper: Employee share purchase schemes – proposed exemption relief. Read more here.
Consultation paper: Proposed FMC Act exemption for offers made through AFAs providing personalised DIMS. The FMA is seeking comment on whether there is a need for exemption relief for offerors who sell financial products through AFAs providing personalised discretionary investment management services (DIMS) under the Financial Advisers Act 2008 (FA Act).
Consultation paper: Proposed amendments to the Auditor Regulation Act (Prescribed Minimum Standards and Conditions for Licensed Auditors and Registered Audit Firms) Notice 2012. This paper seeks to gather views from business professionals involved in auditing on the proposed amendments to the Auditor Regulation Act (Prescribed Minimum Standards and Conditions for Licensed Auditors and Registered Audit Firms) Notice 2012.
Consultation paper: Scrip offers in takeovers. We are seeking comment on whether there is a need for exemption relief for issuers offering securities as part of a ‘scrip bid’ in a takeover offer. A ‘scrip bid’ is a takeover bid where securities are offered wholly or partly in place of cash.
Consultation paper: Proposed financial reporting exemptions for small and medium-sized DIMS providers. We consulted on a class exemption for small and medium-sized licensed DIMS providers from certain financial reporting obligations. This consultation is now closed.
Consultation paper: Investor acknowledgement and warning for the $750,000 minimum investment wholesale investor exclusion. Read the full consultation paper here.
We have reviewed the feedback and updated the standard conditions. The new standard condition (no.12) comes into effect on 1 December 2015.
Consultation paper: Financial Markets Conduct Act exemptions. We sought comments on matters we believe should receive support through the FMA’s legislative tools, but for which we have yet to develop policy proposals. Read more here.
Consultation Paper - Disclosing non-GAAP financial information. Read more here.
Going Public – A Director’s Guide is intended to help directors assess whether going public is the right choice for their company and to provide an insight into the process of becoming a public company.
Consultation paper: Content and form of Disclose register information. The submissions have now been considered and integrated into a guidance note. Read more.
Consultation: Proposed additional standard conditions for Authorised Financial Advisers. Read more here.
Consultation: Request for Comment on Proposed AFA Adviser Business Statement Guide (Version 2). Read more here.
Eight submissions were received and amendments were incorporated into the final version of the updated guidance note.