1. Compliance
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Consultation

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For the latest on policy decisions and matters we are still exploring with legislative tool solutions, see our Regulation Updates section. If you would like to be notified when consultations open for submissions please subscribe to our consultation alerts. 

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Found 87 results. Displaying page 4 of 5

    • Closed - with decision

    11 July 2013

    Consultation paper: Practical implications of Reporting Entities transacting with other Reporting Entities and the Factsheet on Managing Intermediaries

    Consultation paper: Practical implications of Reporting Entities transacting with other Reporting Entities and the Factsheet on Managing Intermediaries. Read more here.

    https://www.fma.govt.nz/compliance/consultation/consultation-paper-practical-implications-of-reporting-entities-transacting-with-other-reporting-entities-and-the-factsheet-on-managing-intermediaries/

    • Closed - with decision

    21 October 2010

    Consultation: Standard Conditions for Qualifying Financial Entities (Qfes) - Disclosure and Related Matters

    The Financial Advisers Act 2008 (the Act) provides that a grant of QFE status may be subject to terms and conditions and may also incorporate standard conditions. The proposed standard conditions in this paper relate to a QFE's disclosure obligations under the Act.

    https://www.fma.govt.nz/compliance/consultation/consultation-standard-conditions-for-qualifying-financial-entities-qfes-disclosure-and-related-matters/