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17 November 2015

Consultation on annual declaration of compliance for FMC Act licensees

This consultation is for all individuals or businesses who are FMC Act market service licensees. It aims to:seek feedback from FMC Act market service licensees on a proposal requiring the licensees’ governing bodies to declare, annually, they have complied with conditions for their licence.
17 November 2015

Exemption Notice - Financial Markets Conduct Coats Group plc Sale Facility

Financial Markets Conduct (Coats Group plc Sale Facility) Exemption Notice 2015
12 November 2015

Presentation to Fund Managers Forum on Emerging Themes from Licensing

Presentation to Fund Managers Forum on Emerging Themes from Licensing at the Fund Managers Forum, 12 November 2015
10 November 2015

ARA Prescribed Minimum Standards and Conditions for Licensed Auditors and Registered Audit Firms Notice 2012 Consolidated 10 Nov 2015

Minimum standards and conditions for licensed auditors and registered audit firms notice 2015.
9 November 2015

ARA Prescribed Minimum Standards and Conditions for Licensed Auditors and registered audit firms 2015
6 November 2015

Proposed amendments to the Auditor Regulation Act (Prescribed Minimum Standards and Conditions for Licensed Auditors and Registered Audit Firms) Notice 2012

The table in this paper summarises the submissions made on our consultation paper on proposed amendments to the Auditor Regulation Act (Prescribed Minimum Standards and Conditions for Licensed Auditors and Registered Audit Firms) Notice 2012, released in September 2015.
6 November 2015

Exemption Notice - Financial Markets Conduct Act Garden BidCo Limited

Financial Markets Conduct Act (Garden BidCo Limited) Exemption Notice 2015.
5 November 2015

Consultation paper charities debt securities exemption

We are consulting on whether charities issuing debt securities should be subject to standard Financial Markets Conduct Act 2013 (FMC Act) obligations. The FMC Act requires organisations offering debt securities to disclose certain information and to have a licensed supervisor.
1 November 2015

Risk indicators and description of managed funds - guidance note

This guidance is for managers and supervisors of managed funds. It gives guidance on how to calculate risk indicators, when to update a PDS, how to describe a fund’s volatility, and in certain cases how to name your fund.
1 November 2015

Guidance on risk indicators and description of managed funds - RIS

This Regulatory Impact Statement (RIS) considers the FMA’s proposed guidance on risk indicators and description of managed funds.
30 October 2015

Exemption Notice - Financial Markets Conduct CBA Capital Australia Pty Limited

Financial Markets Conduct (CBA Capital Australia Pty Limited) Exemption Notice 2015
30 October 2015

Exemption Notice - Financial Markets Conduct Goodman Fielder Pty Limited

Financial Markets Conduct (Goodman Fielder Pty Limited) Exemption Notice 2015
28 October 2015

Consultation paper Draft guidance on disclosure of certain fees and returns by managed funds

This consultation is for managers, supervisors, and their advisers. It aims to help the industry comply with FMC Regulations for their fund updates and PDSs.
23 October 2015

Exemption notice - Securities Act Augusta Funds Management Limited Shands Road Limited Partnership

Financial Markets Conduct Exemption Notice 2015: Augusta Funds Management Limited - Shands Road Limited partnership.
22 October 2015

Custodians obligations information sheet

This information sheet explains the difference between a broker and a custodian, custodians for wholesale and managed investment scheme (MIS) clients, and custodians’ statutory obligations. We also list examples of different custodial arrangements.