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Consultation papers

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Found 84 results. Displaying page 1 of 5

    • Open

    23 May 2018

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

    We are consulting on our proposed exemption to allow for same class offers of ASX-quoted financial products of ASX/NZX-listed issuers on an equivalent basis as the same class offers exclusion. if granted, the exemption is expected to help attract secondary listings to NZX.

    https://fma.govt.nz/compliance/consultation/consultation-papers/consultation-paperproposed-exemption-for-same-class-offers-of-asx-nzx-quoted-financial-products/

    • Closed

    16 April 2018

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

    We are seeking feedback from market licensees on a proposal to require licensees to make an annual declaration of compliance as part of the regulatory return.

    https://fma.govt.nz/compliance/consultation/consultation-papers/consultation-paper-including-an-annual-declaration-of-compliance-in-regulatory-returns-and-updating-the-standard-regulatory-returns-condition/

    12 March 2018

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

    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.

    https://fma.govt.nz/compliance/consultation/consultation-papers/consultation-paper-content-of-regulatory-returns-for-licensed-di-mis-managers-and-dims-providers/

    28 February 2018

    Consultation paper: Updated Corporate Governance Handbook

    First published 14 November 2017 Final date for submissions  5pm, Friday 8 December 2017 Consultation document Consultation paper FMA Corporate Governance handbook Submission form Feedback form E-mail for submission consultation@fma.govt.nz (please use the title of the consultation paper for the subject line) Resulting documents Corporate Governance Handbook 2018 Submissions report Update28 February 2018Our refreshed corporate g...

    https://fma.govt.nz/compliance/consultation/consultation-papers/consultation-paper-updated-corporate-governance-handbook-consultation/

    16 November 2017

    Consultation paper: Proposed exemption to facilitate personalised digital advice

    Updated 22 February 2018   Final date for submissions   5pm, Friday 15 December 2017 (this consultation has concluded)   Consultation document Exemption to enable personalised digital advice, information sheet and application documents Submission form Feedback form E-mail for submission consultation@fma.govt.nz (please use the title of the consultation paper for the subject line) Resulting documents Exemption notice – final u...

    https://fma.govt.nz/compliance/consultation/consultation-papers/consultation-paper-proposed-exemption-to-facilitate-personalised-robo-advice/

    28 September 2017

    Consultation paper: Short duration derivatives

    First published 3 April 2017   Final date for submissions   5pm Friday 28 April 2017 (this consultation has concluded)  Consultation document Short duration derivatives Submission form Feedback form E-mail for submission consultation@fma.govt.nz (please use the title of the consultation paper for the subject line) Resulting documents Designation notice Summary of submissions report We are seeking feedback on whether we should c...

    https://fma.govt.nz/compliance/consultation/consultation-papers/consultation-paper-short-duration-derivatives/

    19 July 2017

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

    Updated 19 July 2017   Final date for submissions   5pm, Friday 23 June 2017 (this consultation has concluded)   Consultation documents Financial Markets Conduct (KiwiSaver Confirmation Information) Methodology Notice 2017 Draft Guidance - Fee disclosure by managed funds  Submission form Feedback form E-mail for submission consultation@fma.govt.nz with the subject line: ‘KiwiSaver annual statements’: [Your entity name]’....

    https://fma.govt.nz/compliance/consultation/consultation-papers/consultation-paper-kiwisaver-annual-statements-calculation-of-total-fees-in-dollars/

    13 July 2017

    Consultation paper: Disclosing non-GAAP financial information

    First published 6 March 2017   Final date for submissions   5pm Friday 7 April 2017 (this consultation has concluded)   Consultation document Disclosing non-GAAP financial information Submission form Feedback form E-mail for submission consultation@fma.govt.nz (please use the title of the consultation paper for the subject line) Resulting documents Disclosing non-GAAP financial information guidance Non-GAAP financial informatio...

    https://fma.govt.nz/compliance/consultation/consultation-papers/consultation-paper-disclosing-non-gaap-financial-information-2/

    22 May 2017

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

    First published 22 May 2017   Final date for submissions   5pm, Friday 9 June 2017 (this consultation has concluded)  Consultation document Proposed exemption from the obligation to prepare scheme financial statements for bundled unit trusts Submission form Feedback form E-mail for submission consultation@fma.govt.nz (please use the title of the consultation paper for the subject line) Under the Securities Act 1978 (SA) a numbe...

    https://fma.govt.nz/compliance/consultation/consultation-papers/consultation-paper-proposed-exemption-from-the-obligation-to-prepare-scheme-financial-statements-for-bundled-unit-trusts/

    15 May 2017

    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.

    https://fma.govt.nz/compliance/consultation/consultation-papers/consultation-paper-class-designation-of-shares-to-managed-investment-products-in-an-mis/

    4 May 2017

    Consultation paper: Proposed guidance on substantial product holder disclosures

    First published 4 May 2017   Final date for submissions   5pm, Friday 16 June 2017 (this consultation has concluded)   Consultation document Proposed guidance on substantial product holder disclosures 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 have released a  consultation paper on proposed guidance about substantial prod...

    https://fma.govt.nz/compliance/consultation/consultation-papers/proposed-guidance-on-substantial-product-holder-disclosures/

    11 April 2017

    Consultation paper: Improving financial information in an equity PDS

    First published 11 April 2017   Final date for submissions   5pm, Friday 30 June 2017 (this consultation has concluded)    Consultation document Improving financial information in an equity PDS Submission form Feedback form E-mail for submission consultation@fma.govt.nz (please use the title of the consultation paper for the subject line) Resulting documents Guidance: Improving financial information in an equity PDS Submissio...

    https://fma.govt.nz/compliance/consultation/consultation-papers/consultation-paper-improving-financial-information-in-an-equity-pds/

    8 March 2017

    Consultation paper: KiwiSaver advice

    We are seeking feedback on our KiwiSaver advice guidance note.

    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. This revised guidance is intended to change that situation, by encouraging advisers and financial firms to help people make good decisions about KiwiSaver.

    https://fma.govt.nz/compliance/consultation/consultation-papers/consultation-paper-kiwisaver-advice/

    21 February 2017

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

    First published 21 February 2017   Final date for submissions   5pm Friday 17 March 2017 (this consultation has concluded)   Consultation document Proposed transitional relief for non-NZX brokers to allow limited use of buffers 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 views on a proposal for a class exemption...

    https://fma.govt.nz/compliance/consultation/consultation-papers/consultation-paper-proposed-transitional-relief-for-non-nzx-brokers-to-allow-limited-use-of-buffers/

    16 January 2017

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

    First published 16 January 2017   Final date for submissions   5pm Friday 17 March 2017 (this consultation has concluded)   Consultation document Requirement for managers of multiple participant schemes to register participation agreements 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 views on a proposal for a pos...

    https://fma.govt.nz/compliance/consultation/consultation-papers/consultation-paper-requirement-for-managers-of-multiple-participant-schemes-to-register-participation-agreements/

    25 July 2016

    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.

    https://fma.govt.nz/compliance/consultation/consultation-papers/consultation-paper-reviews-of-the-financial-markets-authority-funding-and-the-financial-markets-authority-levy/