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Submissions report: Proposed guidance on CoFI intermediated distribution. Collation of written feedback received as part of the FMA’s public consultation on the proposed CoFI (Conduct of Financial Institutions) guidance note on intermediated distribution.
Summary of key themes. An overview of feedback received as part of consultation on the proposed CoFI guidance note on intermediated distribution.
CoFI guidance note: Intermediated distribution. This guidance note is for financial institutions. It gives guidance on the FMA’s expectations when financial institutions distribute products and services through intermediaries.
Submission form for response to the Consultation - Proposed guidance for keeping proper CRD records
Consultation paper proposed guidance for keeping proper Climiate Related Dislcosures records.
Guidance document - climate related disclosure and the use of third party providers
This PROPOSED guidance note is for entities that have climate-related disclosure obligations under Part 7A of the Financial Markets Conduct Act 2013. It is intended to help climate reporting entities (CREs) to meet their statutory requirement to keep proper climate-related disclosure records at all times.
Submission form for consultation responses - proposed exemptions for CREs in liquidation, receivership, or voluntary administration.
Consultation paper to provide a class exemption to provide relief from climate reporting duties for CREs that are in liquidation, receivership, or voluntary administration.
The 2023 ICE Futures US general obligations review review focuses on whether the CFTC was satisfied with IFUS’s compliance during the review period.
The 2023 ICE Futures Europe general obligations review focuses on whether the FCA was satisfied with IFEU’s compliance during the review period.
The exemption Notice exempts Fonterra Co-operative Group Limited (Fonterra) from Part 3 of the Financial Markets Conduct Act 2013 (the FMC Act), in relation to a capital return and contemporaneous share subdivision, pursuant to a court-approved scheme of arrangement.
Financial Market Conduct (Christchurch City Holdings Limited Subsidiary Balance Date Alignment) Exemption Notice 2023.
Feedback form for Consultation: Renewal of class exemption for same class offers ASX/NZX-quoted financial products.
Consultation paper for Renewal of class exemption for same class offers ASX/NZX-quoted financial products.