1. Compliance
  2. Consultation
  3. 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

First published 12 March 2018 

 Final date for submissions

 5pm Wednesday 11 April 2018

(this consultation has concluded)

Consultation documents

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

Submission form

Feedback form

E-mail for submission consultation@fma.govt.nz (please use the title of the consultation paper for the subject line)

We are seeking feedback from licensed derivative issuers (DI), managers of managed investment schemes (MIS) and discretionary investment management service (DIMS) providers on the information they will have to supply in their annual regulatory returns.

This consultation outlines the information we plan to ask about the regulatory returns for those providers. These returns are required by law and help us make sure licensees continue to perform their market services effectively, post-licensing.

Submissions closed at 5pm on Wednesday 11 April 2018

If you have questions please email consultation@fma.govt.nz. In the subject title please state 'Consultation on the content of regulatory returns for licensed DI, MIS managers and DIMS providers'