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Regulation updates and notices from the FMA are listed on this page.
This is a periodical summary of the Financial Markets Conduct Act and Financial Adviser Act class legislative notices we have granted. It includes exemptions, designations, frameworks or methodologies, and public accountability notices.
Read our latest update on changes to regulation in the following areas: making annual reports available to shareholders electronically; fees and levies; defined benefit schemes register obligations; civil liability and rating agency.
30 November 2016 marked the end of the transitional period the industry was required to move to operating under the FMC Act 2013 regime. Since 1 December 2016, businesses could no longer operate under the Securities Act or Securities Markets Act.
FMA legislative notices supporting the FMC Act regime up to end of September 2016. Giving a picture of our progress and plans to implement notices to support the FMC Act regime.
Read our latest Regulatory update on our legislative notices work to support businesses implementing the FMC Act. This consolidates information to 15 August 2016 to give a picture of our progress and plans.
We have approved a series of class exemptions for overseas issuers which allow issuers making offers to New Zealand investors to rely on the disclosure, governance, financial reporting and audit requirements of their overseas jurisdiction where their regulatory standards are equivalent to New Zealand’s.
To support businesses implementing the Financial Markets Conduct Act 2013 (FMC Act), the FMA has been working, in consultation with the sector, on various legislative tools such as exemptions, frameworks, methodologies, public accountability notices, and designations (the FMA’s legislative tools).
In order to fully implement the FMC Act we have been considering matters which may require support from class exemptions, frameworks, or methodologies and designations (the FMA’s legislative tools).
While the Financial Markets Conduct Regulations 2014 (FMC Regulations) covered the detail necessary for the Financial Markets Conduct Act 2013 (FMC Act) to come into force on 1 December 2014, the size and complexity of the reforms meant the Government needed to defer some non-urgent matters.