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  1. 2 February 2018

    Financial Markets Conduct (The Bank of New York Mellon) Exemption Notice 2018

    Under Financial Markets Conduct (The Bank of New York Mellon) Exemption Notice 2018 BNYM is exempted from sections 276 to 279 of the Act in respect of any relevant interest in a financial product that BNYM has as a result of an authority granted to it.
    Tags
    Exemptions, Secondary legislation, Business
    Type
    Page

  2. 3 November 2020

    Financial Markets Conduct (Sharesies Limited) Exemption Notice 2020

    The Financial Markets Conduct (Sharesies Limited) Exemption Notice 2020 exempts Sharesies Limited and Sharesies Group Limited in relation to an offer of shares in Sharesies Group Limited to shareholders of Sharesies Limited under a proposed scheme of arrangement pursuant to Part 15 of the Companies Act 1993.
    Tags
    Exemptions, Secondary legislation, Business
    Type
    Page

  3. 15 May 2017

    Consultation paper: Class designation of shares to managed investment products in an MIS

    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.
    Tags
    Investing, Consultations, Roles, Business, Consumer, Managed investment schemes
    Type
    Page

  5. 10 December 2015

    Consultation Class designation of shares to MIPs in an MIS

    This consultation is for offerors, managers, supervisors, investors, legal advisers and interested parties. It aims to: gain feedback on the impact of class designations that would treat shares as managed investment products in a managed investment scheme.
    Tags
    Consultations, Roles, Business, Managed investment schemes
    Type
    PDF

  6. 7 April 2016

    Consultation Paper Exemption for small offers of co operative shares

    This consultation is for: co-operative companies, industrial and provident societies, and their respective industry bodies, investors and advisers. It aims to: seek views on our proposals for exemptive relief under the FMC Act for certain offers of cooperative shares.
    Tags
    Consultations, FMC Act, Legislation, Business
    Type
    PDF

  7. 16 September 2015

    Consultation Paper Employee Share Schemes

    This consultation is for companies, offerors, legal advisers. It aims to seek feedback on possible exemptions for employee share purchase schemes
    Tags
    Offer disclosure for equity and debt offers, Consultations, Roles, Business
    Type
    PDF

  14. 20 October 2022

    Thematic review of use of the wholesale investor exclusion

    Findings from the FMA’s thematic review of wholesale offers of financial products, along with guidance for offerors and those who provide confirmation for eligible investor certificates. Published 20 October 2022.
    Tags
    Offer disclosure for equity and debt offers, Reports and Papers, Offers of financial products, Roles, Business, News & Insights
    Type
    PDF

  15. 13 December 2019

    Thematic review of MIS custody arrangements

    The thematic review of MIS custody arrangements identified issues around the independence of custody arrangements, and inconsistency of custodial processes, procedures and controls. Read the full report here.
    Tags
    Roles, Reports and Papers, KiwiSaver providers, Business, Managed investment schemes, News & Insights, Supervisor
    Type
    Page