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Consultation papers

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Found 69 results. Displaying page 1 of 4

  1. 8 November 2016

    Consultation paper: KiwiSaver advice

    We are seeking feedback on our KiwiSaver advice guidance note.

    This guidance note is for providers advising on KiwiSaver products and will replace our 2012 Guidance Note: Sale and Distribution of KiwiSaver. We are replacing this guidance to recognise feedback that our 2012 approach resulted in some people not getting the help they needed, as firms saw it as risky to provide advice. This revised guidance is intended to change that situation, by encouraging advisers and financial firms to help people make good decisions about KiwiSaver.


  2. 25 July 2016

    Consultation paper: Reviews of the Financial Markets Authority funding and the Financial Markets Authority levy

    We are seeking views on the proposals to provide class exemptions which provide co-operative companies and industrial and provident societies a lighter path of compliance with the Financial Markets Conduct Act 2013 (FMC Act) when they offer their members shares of minimal value.


  3. 10 December 2015

    Consultation paper: Class designation of shares to managed investment products in an MIS

    This consultation paper considers when shares in investment companies may be designated as managed investment products (MIPs). Being MIPs subject these investment companies to the licensing, disclosure and governance requirements of managed investment schemes.


  4. 24 November 2015

    Consultation paper: Draft guidance on risk indicators and descriptions of managed funds

    This consultation paper proposes guidance on how managed funds should describe a fund’s risk category, the methodology for calculating risk indicators, what to look out for when naming the funds to reflect their risk profile, and when to update investors when a fund’s risk category changes.


  5. 17 November 2015

    Consultation paper: Proposal for annual declaration of compliance for Financial Markets Conduct Act 2013 licensees

    We are proposing to add a new standard condition that will require all FMC Act market service licensees to declare to us, on an annual basis, their compliance with each condition of their licence.


  6. 28 October 2015

    Consultation paper: Draft guidance on disclosure of certain fees and returns by managed funds

    We have prepared a draft guidance paper on topics which we think would help licensed managers, supervisors, and their professional advisers when they prepare their fund updates and product disclosure statements to meet obligations under the Financial Markets Conduct Act 2013.


  7. 29 September 2015

    Consultation paper: Proposed FMC Act designation & exemption for companies used to manage costs in real property communal facilities

    We are seeking feedback on whether corporate vehicles set up by property developers to manage the costs associated with communal facilities in real property, should fall under the Financial Markets Conduct Act (2013) regime.


  8. 9 September 2015

    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).


  9. 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

    This paper seeks to gather views from business professionals involved in auditing on the proposed amendments to the Auditor Regulation Act (Prescribed Minimum Standards and Conditions for Licensed Auditors and Registered Audit Firms) Notice 2012.