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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 on the proposed regulatory returns for licensed Class 3 Financial Advice Providers (FAPs).
The FMA is consulting on a proposed class exemption for restricted schemes from certain disclosure and reporting obligations under the Financial Markets Conduct Regulations 2014.
Consultation paper issued by the FMA: Review of the Wholesale Investor Exclusion $750,000 Minimum Investment Exemption
Throughout 2020 and 2021 we will be consulting on a range of class exemption and other legislative notices that are due to expire before the end of 2022.
We are seeking views on proposed guidance on advertising offers of financial products under the Financial Markets Conduct Act 2013. The proposed guidance sets out our expectations of what good conduct in the advertising of financial products looks like. Feedback will be used to help us refine the proposed guidance.
The Government, led by the Ministry Department of Justice, is reviewing the Anti-Money Laundering and Countering Financing Act 2009 (the Act). The Act helps to keep Aotearoa New Zealand safe from money laundering and terrorism financing, so our country has a trustworthy and legitimate financial system.
Since establishment in 2011, the FMA’s role and our responsibilities and statutory functions have increased significantly. MBIE and the Financial Markets Authority (FMA) are consulting on proposed changes to the FMA’s funding and the FMA levy. The funding review has been subject to a Deloitte independent assessment and Deloitte’s findings are published alongside the consultation materials on the MBIE website.
The Financial Market Infrastructures Act 2021 (the Act) establishes a comprehensive framework for the oversight and regulation of financial markets infrastructures (FMIs)
We are seeking input on the regulatory approach to the statutory requirement that KiwiSaver fees must not be unreasonable and the related overarching statutory duties.
Consultation paper: Content of regulatory returns for licensed DI, MIS managers and DIMS providers. This consultation outlines the information we plan to ask about the regulatory returns for those providers. Read more.
The Financial Services Legislation Amendment Act 2019 (FSLAA) will introduce a new regulatory regime for financial advice. We are considering where FMC Act exemptions may be useful to support the effective operation of the new regime.
Consultation: Recognition of Australian adviser qualifications. When the new regime is in force, we propose to recognise that individual Australian advisers demonstrate the competence, knowledge and skill standards set by the Code if they hold certain Australian adviser qualifications, and to confirm this in a statement on our website.
The FMA issued the Auditor Regulation Act (Prescribed Minimum Standards and Conditions for Licensed Auditors and Registered Audit Firms) Notice 2012 (the Notice) on 18 April 2012, and (Prescribed Minimum Standards and Conditions for Licensed Auditors and Registered Audit Firms) Amendment Notice 2015 (the Amendment) on 9 November 2015.
In preparation for full licensing, we are consulting on the proposed classes of licence and the standard conditions to be imposed on full licences.
The FMA and MBIE are reviewing the FMA’s operational funding requirements, and are seeking feedback on funding options identified by PwC in its independent review of the FMA’s efficiency and effectiveness