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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: 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.
Consultation: Corporate Governance in New Zealand – Principles and Guidelines handbook is intended as a reference guide for directors, executives and advisers, to help them decide how best to apply the nine key corporate governance principles.
Consultation Paper: Fund update template and guidance for calculating risk indicators. This consultation paper is for market participants that manage funds and for their supervisors and investors. Read more here.
Consultation Paper: Issuers’ Registers of Regulated Products and FMA’s Discretion under Section 224. This paper gives an overview of the requirements relating to issuers’ registers of regulated products under Subpart 4 of Part 4 of the Financial Markets Conduct Act 2013 (FMC Act).
Consultation Paper: The new accountability framework - Governance under Part 4 of the FMC Act. 10 submissions were received. Many of the comments were incorporated into a guidance note, outlining our expectations for governance under Part 4 of the FMC Act.
In August/September 2014, the FMA consulted on SIPOs and Limit Breaks. 21 submissions were received. A summary of the submission feedback can be downloaded here.
Consultation paper: FMA seeks comments on proposed class exemption to apply to initial public offers. The Financial Markets Authority (FMA) is planning to consult on a proposed class exemption for firms making initial public offers (IPOs). Read more.
Consultation: Financial Reporting - Regulatory policy for financial reporting designations and exemptions. We invite you to review our policies and the proposed changes and share your feedback on them with us. Submissions close on 28 February 2014.
CONSULTATION PAPER: The Financial Markets Conduct Act 2013 (the Act) introduces licensing for providers offering certain types of financial services. We are now consulting on the proposed minimum standards for these licence types. Read more here.
Consultation paper: Draft guidance notes for financial advisers. Read more here.
Consultation Paper: Charitable and Religious Purposes Exemption Review. Read more here.
Consultation paper: Practical implications of Reporting Entities transacting with other Reporting Entities and the Factsheet on Managing Intermediaries. Read more here.
Consultation Paper: Class exemption review. The FMA has undertaken a review of 44 class exemption notices expiring in 2012. Read more here.