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Consultation papers

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Found 78 results. Displaying page 1 of 4

  1. 19 July 2017

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

    Updated 8 June 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  Consultation documents Financial Markets Conduct (KiwiSaver Confirmation Information) Methodology Notice 2017 Draft Guidance - Fee disclosure by managed funds  Submission form Feedback form E-mail for submission consultation@fma.govt.nz with the subject line: ‘KiwiSaver annual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/

  2. 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/

  3. 21 June 2017

    Consultation paper: Proposed exemption to facilitate personalised robo-advice

    First published 21 June 2017   Final date for submissions   5pm, Wednesday 19 July 2017   Consultation document Proposed exemption to facilitate personalised robo-advice 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 considering using our exemption powers to facilitate the provision of personalised robo-advice services. ...

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

  4. 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   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 number of managers of managed investme...

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

  5. 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/

  6. 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   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 product holder disclosures. We are ask...

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

  7. 11 April 2017

    Consultation paper: Improving financial information in an equity PDS

    First published 11 April 2017   Final date for submissions   5pm, Wednesday 31 May 2017     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) We intend to issue guidance for equity issuers on how to disclose financial information in product disclosure statements...

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

  8. 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/

  9. 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   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 from the Financial Advisers Act 2...

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

  10. 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   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 possible class exemption from the Fin...

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

  11. 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/

  12. 24 November 2015

    Consultation paper: Draft guidance on risk indicators and descriptions of managed funds

    This consultation paper proposes guidance on how managed funds should describe a fund’s risk category, the methodology for calculating risk indicators, what to look out for when naming the funds to reflect their risk profile, and when to update investors when a fund’s risk category changes.

    https://fma.govt.nz/compliance/consultation/consultation-papers/consultation-paper-draft-guidance-on-risk-indicators-and-descriptions-of-managed-funds/

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