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 3 of 5

    • 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/