1. Compliance
  2. Consultation

Consultation

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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Found 90 results. Displaying page 2 of 5

    • 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.

    https://www.fma.govt.nz/compliance/consultation/consultation-paper-kiwisaver-advice/

    • Closed - with decision

    21 February 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.

    https://www.fma.govt.nz/compliance/consultation/consultation-paper-proposed-transitional-relief-for-non-nzx-brokers-to-allow-limited-use-of-buffers/

    • 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.

    https://www.fma.govt.nz/compliance/consultation/consultation-paper-requirement-for-managers-of-multiple-participant-schemes-to-register-participation-agreements/

    • 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.

    https://www.fma.govt.nz/compliance/consultation/consultation-paper-reviews-of-the-financial-markets-authority-funding-and-the-financial-markets-authority-levy/

    • Closed - with decision

    7 April 2016

    Consultation paper: Exemption for small offers of co-operative shares

    Consultation paper: Exemption for small offers of co-operative shares. 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.

    https://www.fma.govt.nz/compliance/consultation/consultation-paper-exemption-for-small-offers-of-co-operative-shares/

    • Closed - with decision

    17 December 2015

    Consultation paper: Proposed exemptions for existing property schemes

    Consultation paper: Proposed exemptions for existing property schemes. We are considering possible exemptions to address some of the issues faced by existing property schemes or syndicates in complying with certain requirements under the Financial Markets Conduct Act 2013 (FMC Act).

    https://www.fma.govt.nz/compliance/consultation/consultation-paper-proposed-exemptions-for-existing-property-schemes/

    • Closed - with decision

    24 November 2015

    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.

    https://www.fma.govt.nz/compliance/consultation/consultation-paper-draft-guidance-on-risk-indicators-and-descriptions-of-managed-funds/

    • Closed - with decision

    29 September 2015

    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.

    https://www.fma.govt.nz/compliance/consultation/consultation-paper-proposed-fmc-act-designation-and-exemption-for-companies-used-to-manage-costs-in-real-property-communal-facilities/

    • Closed - with decision

    9 September 2015

    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).

    https://www.fma.govt.nz/compliance/consultation/consultation-paper-proposed-fmc-act-exemption-for-offers-made-through-afas-providing-personalised-dims/

    • Closed - with decision

    3 September 2015

    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. Read more here.

    https://www.fma.govt.nz/compliance/consultation/consultation-paper-proposed-amendments-to-the-auditor-regulation-act-prescribed-minimum-standards-and-conditions-for-licensed-auditors-and-registered-audit-firms-notice-2012/