Consultations

Found 110 results. Displaying page 5 of 8

1. Closed - with decision

   19 July 2017

   Consultation paper: KiwiSaver annual statements - calculation of total fees in dollars

   Consultation paper: KiwiSaver annual statements - calculation of total fees in dollars. See the methodology notice, regulatory impact statement and amended guidance note for managed funds on fee disclosure above.
2. Closed - with decision

   13 July 2017

   Consultation paper: Disclosing non-GAAP financial information

   Consultation paper: Disclosing non-GAAP financial information. This guidance note communicates our expectations on presenting non-GAAP financial information, including pro-forma financial information.
3. Closed - with decision

   22 May 2017

   Consultation paper: Proposed exemption from the obligation to prepare scheme financial statements for bundled unit trusts

   Consultation paper: Proposed exemption from the obligation to prepare scheme financial statements for bundled unit trusts. It exempts from the requirement to prepare financial statements for the scheme (as opposed to financial statements for each of the separate funds) provided the criteria in clause 5 are met. Read more.
4. Closed - with decision

   15 May 2017

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

   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.
5. Closed - with decision

   4 May 2017

   Consultation paper: Proposed guidance on substantial product holder disclosures

   Consultation paper: Proposed guidance on substantial product holder disclosures. This will be of interest to fund management firms, those who have a substantial product holding in a listed issuer, and any other interested parties.
6. Closed - with decision

   11 April 2017

   Consultation paper: Improving financial information in an equity PDS

   Consultation paper: Improving financial information in an equity PDS. Guidance for equity issuers on how to disclose financial information in product disclosure statements (PDS) in a clear, concise and effective manner.
7. Closed - with decision

   10 April 2017

   Consultation paper: Proposed transitional relief for non-NZX brokers to allow limited use of buffers

   Consultation paper: Proposed transitional relief for non-NZX brokers to allow limited use of buffers. The proposal is to exempt these brokers for a transitional period (until November 2020) from the requirement to keep client money and property in a separate account from their own money and property.
8. Closed - with decision

   8 March 2017

   Consultation paper: KiwiSaver advice

   Consultation paper: KiwiSaver advice. 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. Read more here.
9. Closed - with decision

   2 February 2017

   Consultation paper: A guide to the FMA's view of conduct

   Consultation paper: A guide to the FMA's view of conduct. We are seeking feedback on our conduct guide. The guide details how we will examine whether financial service providers are demonstrating good conduct under the Financial Markets Conduct Act (FMC Act).
10. Closed - with decision

    16 January 2017

    Consultation paper: Requirement for managers of multiple participant schemes to register participation agreements

    Consultation paper: Requirement for managers of multiple participant schemes to register participation agreements. The proposal is to exempt these managers from the requirement to register participation agreements entered into with the various employers they service which form part of the scheme’s governing document.
11. Closed - with decision

    10 October 2016

    Consultation paper: Regulatory returns for prescribed intermediary services

    Consultation paper: Regulatory returns for prescribed intermediary services. We are seeking feedback from licensed crowdfunding and peer-to-peer lending service providers on the information they will have to supply in their annual regulatory returns.
12. Closed - with decision

    25 July 2016

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

    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.
13. Closed - with decision

    7 April 2016

    Consultation paper: Exemption for small offers of co-operative shares

    Consultation paper: Exemption for small offers of co-operative shares. 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.
14. Closed - with decision

    4 March 2016

    Consultation paper: Exemptions impacting overseas businesses, and restricted schemes

    Consultation paper: Exemptions impacting overseas businesses, and restricted schemes. This consultation details our proposed exemptions to provide relief on four issues affecting overseas businesses, and trustees for restricted schemes
15. Closed - with decision

    17 December 2015

    Consultation paper: Recognition of overseas regimes – proposed exemption relief

    Consultation paper: Recognition of overseas regimes – proposed exemption relief. We are consulting on possible exemptions for overseas issuers and overseas FMC reporting entities from a range of issues.