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1. 1 December 2015

   Exemption Notice - Financial Markets Conduct ICAP Brokers Pty Limited and ICAP New Zealand Limited

   Financial Markets Conduct (ICAP Brokers Pty Limited and ICAP New Zealand Limited) Exemption Notice 2015

2. 30 November 2015

   KVB Kunlun New Zealand Limited Waiver Notice

   KVB Kunlun New Zealand Limited Waiver Notice under section 68 of the Financial Markets Conduct Act 2013 PDS consideration unnecessary

3. 30 November 2015

   ASB Bank Limited Waiver Notice

   ASB Bank Limited Waiver Notice under section 68 of the Financial Markets Conduct Act 2013 PDS consideration unnecessary

4. 25 November 2015

   ARA Prescribed Minimum Standards and Conditions for Licensed Auditors and registered audit firms

   This notice is the Auditor Regulation Act (prescribed minimum standards for Licensed Auditors and Registered Audit firms) amendment notice 2015.

5. 24 November 2015

   Financial Markets Conduct Act - NZX Participant Rules Approval of Market Rules Notice 2015

   This notice allows for NZX to replace the Participant Rules dated 16 April 2015 with the corresponding rules provided to the FMA by NZX on 10 Nove 2015

6. 17 November 2015

   Exemption Notice - Financial Markets Conduct Coats Group plc Sale Facility

   Financial Markets Conduct (Coats Group plc Sale Facility) Exemption Notice 2015

7. 17 November 2015

   Consultation proposed variations to standard conditions of market services licences

   FMA consults on adding a standard condition requiring FMC Act licensees’ governing bodies to annually declare compliance with licence terms.

8. 17 November 2015

   Consultation on annual declaration of compliance for FMC Act licensees

   FMA consultation on a proposed annual compliance declaration for FMC Act licensees to improve oversight, governance, and regulatory accountability.

9. 12 November 2015

   Presentation to Fund Managers Forum on Emerging Themes from Licensing

   Presentation to Fund Managers Forum on Emerging Themes from Licensing at the Fund Managers Forum, 12 November 2015

10. 10 November 2015

    ARA Prescribed Minimum Standards and Conditions for Licensed Auditors and Registered Audit Firms Notice 2012 Consolidated 10 Nov 2015

    Minimum standards and conditions for licensed auditors and registered audit firms notice 2015.

11. 6 November 2015

    Exemption Notice - Financial Markets Conduct Act Garden BidCo Limited

    Financial Markets Conduct Act (Garden BidCo Limited) Exemption Notice 2015.

12. 6 November 2015

    Proposed amendments to the Auditor Regulation Act (Prescribed Minimum Standards and Conditions for Licensed Auditors and Registered Audit Firms) Notice 2012

    FMA summary of submissions on proposed changes to auditor licensing and audit firm registration standards under the Auditor Regulation Act 2011.

13. 5 November 2015

    Consultation paper charities debt securities exemption

    FMA consultation on ending exemptions for charities issuing debt securities, proposing full FMC Act compliance for transparency and investor protection.

14. 1 November 2015

    Risk indicators and description of managed funds - guidance note

    This guidance is for managers and supervisors of managed funds. It gives guidance on how to calculate risk indicators, when to update a PDS, how to describe a fund’s volatility, and in certain cases how to name your fund.

15. 1 November 2015

    Guidance on risk indicators and description of managed funds - RIS

    This Regulatory Impact Statement (RIS) considers the FMA’s proposed guidance on risk indicators and description of managed funds.