1. Compliance
  2. Consultation

Consultation

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 us
  • 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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Found 93 results. Displaying page 3 of 5

    • 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/

    • Closed - with decision

    19 November 2014

    Consultation paper: Personalised DIMS under the Financial Advisers Act 2008

    Consultation paper: Personalised DIMS under the Financial Advisers Act 2008 paper outlines the proposed minimum standards the FMA will use to assess eligibility to provide Personalised DIMS. The paper also outlines the proposed additional standard conditions.

    https://www.fma.govt.nz/compliance/consultation/consultation-paper-personalised-dims-under-the-financial-advisers-act-2008/

    • Closed - with decision

    3 November 2014

    Consultation Paper: Issuers’ Registers of Regulated Products and FMA’s Discretion under Section 224

    Consultation Paper: Issuers’ Registers of Regulated Products and FMA’s Discretion under Section 224. This paper gives an overview of the requirements relating to issuers’ registers of regulated products under Subpart 4 of Part 4 of the Financial Markets Conduct Act 2013 (FMC Act).

    https://www.fma.govt.nz/compliance/consultation/consultation-paper-issuers-registers-of-regulated-products-and-fmas-discretion-under-section-224/

    • Closed - with decision

    30 September 2014

    Consultation Paper: The new accountability framework - Governance under Part 4 of the FMC Act

    Consultation Paper: The new accountability framework - Governance under Part 4 of the FMC Act. 10 submissions were received. Many of the comments were incorporated into a guidance note, outlining our expectations for governance under Part 4 of the FMC Act.

    https://www.fma.govt.nz/compliance/consultation/consultation-paper-the-new-accountability-framework-governance-under-part-4-of-the-fmc-act/