Page last updated: 19 July 2024

Consultations – 2017

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 109 results. Displaying page 3 of 8

Closed - with decision

25 March 2021

Consultation paper: Content of regulatory returns for licensed DI, MIS managers and DIMS providers

Consultation paper: Content of regulatory returns for licensed DI, MIS managers and DIMS providers. This consultation outlines the information we plan to ask about the regulatory returns for those providers. Read more.
Closed - with decision

10 March 2021

Consultation: New financial advice regime exemptions

The Financial Services Legislation Amendment Act 2019 (FSLAA) will introduce a new regulatory regime for financial advice. We are considering where FMC Act exemptions may be useful to support the effective operation of the new regime.
Closed - with decision

10 March 2021

Consultation: Recognition of Australian adviser qualifications

Consultation: Recognition of Australian adviser qualifications. When the new regime is in force, we propose to recognise that individual Australian advisers demonstrate the competence, knowledge and skill standards set by the Code if they hold certain Australian adviser qualifications, and to confirm this in a statement on our website.
Closed - with decision

11 December 2020

Consultation paper: Prescribed Minimum Standards and Conditions for Licensed Auditors and Registered Audit Firms Notice 2020

The FMA issued the Auditor Regulation Act (Prescribed Minimum Standards and Conditions for Licensed Auditors and Registered Audit Firms) Notice 2012 (the Notice) on 18 April 2012, and (Prescribed Minimum Standards and Conditions for Licensed Auditors and Registered Audit Firms) Amendment Notice 2015 (the Amendment) on 9 November 2015.
Closed - with decision

24 November 2020

Consultation: Proposed standard conditions for financial advice provider full licences and classes of financial advice service

In preparation for full licensing, we are consulting on the proposed classes of licence and the standard conditions to be imposed on full licences.
Closed - pending response

28 January 2020

Consultation paper: Review of Financial Markets Authority funding and levies

The FMA and MBIE are reviewing the FMA’s operational funding requirements, and are seeking feedback on funding options identified by PwC in its independent review of the FMA’s efficiency and effectiveness
Closed - with decision

15 November 2019

Consultation: Proposed standard conditions for financial advice provider transitional licences

The FMA is consulting on two standard conditions we are considering imposing for transitional licences, as part of the new financial advice regime.
Closed - pending response

26 September 2019

Consultation: Proposed guidance on green bonds and other responsible investment products

This consultation seeks issuer and investor input on green bonds and other responsible investment products that expressly take into account environmental, social, and/or governance considerations.
Closed - with decision

17 December 2018

Consultation paper: Proposed exemption for same class offers of ASX NZX-quoted financial products

Consultation paper: Proposed exemption for same class offers of ASX NZX-quoted financial products in cases where the ASX-listed issuer has a secondary listing with NZX. Read more.
Closed - with decision

1 November 2018

Consultation paper: Determining whether you are acquiring a business or assets

Consultation paper: Determining whether you are acquiring a business or assets. This guidance has been finalised and published. We received four formal submissions, which all supported the proposals. Therefore, no significant changes have been made. Read more
Closed - with decision

29 October 2018

Consultation paper: Proposed exemption to enable dual-language product disclosure statements

The FMA has granted an exemption to enable the provision of dual-language product disclosure statements provided in both te reo Māori and English. Read more here.
Closed - pending response

8 August 2018

Consultation paper: Proposed exemption for restricted schemes from custodian assurance requirements

Consultation paper: Proposed exemption for restricted schemes from custodian assurance requirements. It is proposed that it will be a condition of the exemption that the scheme’s administration manager obtain an assurance engagement. We seek your feedback on our proposals.
Closed - pending response

10 July 2018

Consultation paper: Exemptions, other legislative notices, and unnecessary compliance costs

Consultation paper: Exemptions, other legislative notices, and unnecessary compliance costs. We are seeking feedback on the effectiveness of our legislative notices in minimising unnecessary compliance costs.
Closed - with decision

25 June 2018

Consultation paper: Proposed exemption from requirement to name assets

Consultation paper: Proposed class exemption from requirement to name assets. Proposed class exemption from having to disclose the names of individual borrowers to investors provided other relevant information has been disclosed.
Closed - pending response

16 April 2018

Consultation paper: Including an annual declaration of compliance in regulatory returns and updating the standard regulatory returns condition

Consultation paper: Including an annual declaration of compliance in regulatory returns and updating the standard regulatory returns condition. Read more.