Consultations

Found 113 results. Displaying page 5 of 8

1. Closed - with decision

   16 November 2017

   Consultation paper: Proposed exemption to facilitate personalised digital advice

   Consultation paper: Proposed exemption to facilitate personalised digital advice. We are now open for applications by providers for the exemption. Read more about it here.
2. Closed - with decision

   28 September 2017

   Consultation paper: Short duration derivatives

   Consultation paper: Short duration derivatives. The short-duration derivative issuers should be licensed. This decision is based on our view that the law requires businesses selling these products to have a licence. Read more.
3. Closed - with decision

   7 August 2017

   Consultation paper: Proposed exemption from the market index requirement

   Consultation paper: Proposed exemption from the market index requirement. he exemption applies to the manager of a fund that invests, in whole or in part, in assets that do not have an appropriate market index. Read more.
4. Closed - with decision

   19 July 2017

   Consultation paper: KiwiSaver annual statements - calculation of total fees in dollars

   Consultation paper: KiwiSaver annual statements - calculation of total fees in dollars. See the methodology notice, regulatory impact statement and amended guidance note for managed funds on fee disclosure above.
5. Closed - with decision

   13 July 2017

   Consultation paper: Disclosing non-GAAP financial information

   Consultation paper: Disclosing non-GAAP financial information. This guidance note communicates our expectations on presenting non-GAAP financial information, including pro-forma financial information.
6. Closed - with decision

   22 May 2017

   Consultation paper: Proposed exemption from the obligation to prepare scheme financial statements for bundled unit trusts

   Consultation paper: Proposed exemption from the obligation to prepare scheme financial statements for bundled unit trusts. It exempts from the requirement to prepare financial statements for the scheme (as opposed to financial statements for each of the separate funds) provided the criteria in clause 5 are met. Read more.
7. Closed - with decision

   15 May 2017

   Consultation paper: Class designation of shares to managed investment products in an MIS

   Consultation paper: Class designation of shares to managed investment products in an MIS. This consultation paper considers when shares in investment companies may be designated as managed investment products (MIPs). Being MIPs subject these investment companies to the licensing, disclosure and governance requirements of managed investment schemes.
8. Closed - with decision

   4 May 2017

   Consultation paper: Proposed guidance on substantial product holder disclosures

   Consultation paper: Proposed guidance on substantial product holder disclosures. This will be of interest to fund management firms, those who have a substantial product holding in a listed issuer, and any other interested parties.
9. Closed - with decision

   11 April 2017

   Consultation paper: Improving financial information in an equity PDS

   Consultation paper: Improving financial information in an equity PDS. Guidance for equity issuers on how to disclose financial information in product disclosure statements (PDS) in a clear, concise and effective manner.
10. Closed - with decision

    10 April 2017

    Consultation paper: Proposed transitional relief for non-NZX brokers to allow limited use of buffers

    Consultation paper: Proposed transitional relief for non-NZX brokers to allow limited use of buffers. The proposal is to exempt these brokers for a transitional period (until November 2020) from the requirement to keep client money and property in a separate account from their own money and property.
11. Closed - with decision

    8 March 2017

    Consultation paper: KiwiSaver advice

    Consultation paper: KiwiSaver advice. This guidance note is for providers advising on KiwiSaver products and will replace our 2012 Guidance Note: Sale and Distribution of KiwiSaver. We are replacing this guidance to recognise feedback that our 2012 approach resulted in some people not getting the help they needed, as firms saw it as risky to provide advice. Read more here.
12. Closed - with decision

    2 February 2017

    Consultation paper: A guide to the FMA's view of conduct

    Consultation paper: A guide to the FMA's view of conduct. We are seeking feedback on our conduct guide. The guide details how we will examine whether financial service providers are demonstrating good conduct under the Financial Markets Conduct Act (FMC Act).
13. Closed - with decision

    16 January 2017

    Consultation paper: Requirement for managers of multiple participant schemes to register participation agreements

    Consultation paper: Requirement for managers of multiple participant schemes to register participation agreements. The proposal is to exempt these managers from the requirement to register participation agreements entered into with the various employers they service which form part of the scheme’s governing document.
14. Closed - with decision

    10 October 2016

    Consultation paper: Regulatory returns for prescribed intermediary services

    Consultation paper: Regulatory returns for prescribed intermediary services. We are seeking feedback from licensed crowdfunding and peer-to-peer lending service providers on the information they will have to supply in their annual regulatory returns.
15. Closed - with decision

    25 July 2016

    Consultation paper: Reviews of the Financial Markets Authority funding and the Financial Markets Authority levy

    Consultation paper: Reviews of the Financial Markets Authority funding and the Financial Markets Authority levy. We are seeking views on the proposals to provide class exemptions which provide co-operative companies and industrial and provident societies a lighter path of compliance with the Financial Markets Conduct Act 2013 (FMC Act) when they offer their members shares of minimal value.