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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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The FMA has released guidance following consultation ion proposed guidance on winding-up requirements for registered schemes.
The FMA has issued a Regularly Impact Statement (RIS) and summary of responses following consultation on a proposed new business continuity and technology systems standard condition for managers of registered schemes (but not restricted schemes), DIMS providers, derivatives issuers, peer-to-peer lending providers and crowdfunding service providers.
Following consultation published CoFI guidance note intermediated distribution, the summary of key themes, and the submissions report.
The FMA is considering a class exemption to provide relief from climate reporting duties for CREs that are in liquidation, receivership, or voluntary administration. Submissions close 20 July 2023.
The FMA is seeking feedback on the need for, and the content of, proposed exemptions for foreign exempt issuers from climate reporting duties by 5PM, 17 April 2023.
Consultation published by The Ministry of Justice (the Ministry) on proposed changes to regulations made under the Anti-Money Laundering and Countering Financing of Terrorism Act (AML/CFT Act). Consultation closed on 14 April 2023.
We are consulting on proposed guidance that explains the FMA’s approach to applying and enforcing Code Standard 3 of the Code of Professional Conduct for Financial Advice Services, in relation to financial advice about Initial Public Offerings (IPOs) and listed equity securities.
We are seeking feedback on two class exemption notices, being: the Financial Markets Conduct (Small Co-operatives) Exemption Notice 2021 the Financial Markets Conduct (Irrigation Companies) Exemption Notice 2018. The notices provide small co-operative companies, industrial and provident societies, and irrigation companies with a lighter regulatory compliance pathway.
Consultation on the FMA’s proposed standard conditions for financial institution licences, as part of the Financial Markets (Conduct of Institutions) Amendment Act 2022 (CoFI Act). and post consultation documents.
The FMA is seeking feedback on our proposed class relief from certain financial reporting obligations for insolvent FMC reporting entities.
Consultation closed: The Ministry of Business, Innovation and Employment (MBIE) and the Ministry for the Environment (MfE) have opened consultation on potential changes to the assurance requirement in the climate-related disclosures regime.
Consultation for FMC reporting entities on proposed guidance to keep proper accounting records.
Consultation closed - This consultation is primarily intended for Class 1 licensed financial advice providers.
CONSULTATION CLOSED - This consultation is primarily intended for Class 2 licensed financial advice providers.
Consultation on proposed guidance on the obligations for client money or property service providers.