Unsolicited Offers Monitoring Report

The Securities Markets (Unsolicited Offers) Regulations 2012 (Regulations) came into force on 1 December 2012, in response to concerns about ’low ball’ offers. FMA closely monitored compliance with the new regulations as one of our focus areas in 2013 for building customer trust. In this report we set out our findings and observations. These are based on our monitoring activities to 14 February 2014.

Unsolicited Offers Monitoring Report.pdf (538 kB)