Page last updated: 12 July 2023

Consultations – 2015

Consultation is an important part of our policy development process. Our consultation is designed to encourage quality engagement from interested businesses and individuals, balanced with the need to complete policy work within the required timeframe. When consulting on policy development we will:

post upcoming consultation on our homepage calendar as they are scheduled
publish consultation documents that clearly describe the issue we’re seeking feedback on
provide a reasonable amount of time for respondents to provide quality feedback. If you need more time, please contact the FMA
publish the feedback we receive through consultation, usually via a summary of the key themes, our response and the names of submitters
undertake further consultation if our initial proposal changes significantly and we need additional feedback
publish a regulatory impact statement for significant policy decisions

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Found 123 results. Displaying page 4 of 9

Closed - with decision

Consultation

16 November 2017

Consultation paper: Proposed exemption to facilitate personalised digital advice

Consultation paper: Proposed exemption to facilitate personalised digital advice. We are now open for applications by providers for the exemption. Read more about it here.
Closed - with decision

Consultation

28 September 2017

Consultation paper: Short duration derivatives

Consultation paper: Short duration derivatives. The short-duration derivative issuers should be licensed. This decision is based on our view that the law requires businesses selling these products to have a licence. Read more.
Closed - with decision

Consultation

7 August 2017

Consultation paper: Proposed exemption from the market index requirement

Consultation paper: Proposed exemption from the market index requirement. he exemption applies to the manager of a fund that invests, in whole or in part, in assets that do not have an appropriate market index. Read more.
Closed - with decision

Consultation

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.
Closed - with decision

Consultation

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.
Closed - with decision

Consultation

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.
Closed - with decision

Consultation

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.
Closed - with decision

Consultation

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.
Closed - with decision

Consultation

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.
Closed - with decision

Consultation

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.
Closed - with decision

Consultation

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.
Closed - with decision

Consultation

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).
Closed - with decision

Consultation

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.
Closed - with decision

Consultation

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.
Closed - with decision

Consultation

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.