Page last updated: 19 July 2024

Consultations – 2012

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:

post upcoming consultation on our homepage calendar as they are scheduled
publish consultation documents that clearly describe the issue we’re seeking feedback on
provide a reasonable amount of time for respondents to provide quality feedback. If you need more time, please contact the FMA
publish the feedback we receive through consultation, usually via a summary of the key themes, our response and the names of submitters
undertake further consultation if our initial proposal changes significantly and we need additional feedback
publish a regulatory impact statement for significant policy decisions

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Closed - pending response (22) Closed - with decision (92) Consultation (1) Expired (1) Open (2)

Closed - with decision

Consultation paper: Draft guidance on risk indicators and descriptions of managed funds

Consultation paper: Draft guidance on risk indicators and descriptions of managed funds. This consultation paper proposes guidance on how managed funds should describe a fund’s risk category, the methodology for calculating risk indicators, what to look out for when naming the funds to reflect their risk profile, and when to update investors when a fund’s risk category changes.

Closed - pending response

Consultation paper: Proposal for annual declaration of compliance for Financial Markets Conduct Act 2013 licensees

Consultation paper: Proposal for annual declaration of compliance for Financial Markets Conduct Act 2013 licensees. Read more here.

Closed - with decision

Consultation paper: Proposed variations to standard conditions of market services licences

Consultation paper: Proposed variations to standard conditions of market services licences. This seeks to gather views on proposed variations to the standard conditions for Financial Markets Conduct Act 2013 (FMC Act) licences

Closed - with decision

Consultation paper: Draft guidance on disclosure of certain fees and returns by managed funds

Consultation paper: Draft guidance on disclosure of certain fees and returns by managed funds. Read more here.

Closed - with decision

Consultation paper: Proposed FMC Act designation & exemption for companies used to manage costs in real property communal facilities

Consultation paper: Proposed FMC Act designation & exemption for companies used to manage costs in real property communal facilities. Read more here.

Closed - with decision

Consultation paper: Charities raising funds through debt securities

Consultation paper: Charities raising funds through debt securities. Read more here.

Closed - with decision

Consultation paper: Employee share purchase schemes – proposed exemption relief

Consultation paper: Employee share purchase schemes – proposed exemption relief. Read more here.

Closed - with decision

Consultation paper: Proposed FMC Act exemption for offers made through AFAs providing personalised DIMS

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).

Closed - with decision

Consultation paper: Proposed amendments to the Auditor Regulation Act (Prescribed Minimum Standards and Conditions for Licensed Auditors and Registered Audit Firms) Notice 2012

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.

Closed - with decision

Consultation paper: Scrip offers in takeovers

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.

Closed - with decision

Consultation paper: Proposed financial reporting exemptions for small and medium-sized DIMS providers

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.

Closed - with decision

Consultation paper: Investor acknowledgement and warning for the $750,000 minimum investment wholesale investor exclusion

Consultation paper: Investor acknowledgement and warning for the $750,000 minimum investment wholesale investor exclusion. Read the full consultation paper here.

Closed - with decision

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Consultations – 2012

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Consultation paper: Draft guidance on risk indicators and descriptions of managed funds

Consultation paper: Proposal for annual declaration of compliance for Financial Markets Conduct Act 2013 licensees

Consultation paper: Proposed variations to standard conditions of market services licences

Consultation paper: Draft guidance on disclosure of certain fees and returns by managed funds

Consultation paper: Proposed FMC Act designation & exemption for companies used to manage costs in real property communal facilities

Consultation paper: Charities raising funds through debt securities

Consultation paper: Employee share purchase schemes – proposed exemption relief

Consultation paper: Proposed FMC Act exemption for offers made through AFAs providing personalised DIMS

Consultation paper: 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

Consultation paper: Proposed financial reporting exemptions for small and medium-sized DIMS providers

Consultation paper: Investor acknowledgement and warning for the $750,000 minimum investment wholesale investor exclusion

Consultation Paper: Derivatives Issuer Standard Condition on Suitability

Consultation paper: Financial Markets Conduct Act exemptions

Consultation Paper - Disclosing non-GAAP financial information