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  5. 15 February 2023

    FMA finalises regulatory return questionnaire for licensed Financial Advice Providers

    Following consultation on the proposed standard licence conditions for all classes of Financial Advice Providers (FAPs), the Financial Markets Authority (FMA) confirmed the information FAPs must provide in their regulatory returns.
    Tags
    Media release, Authorised body under a FAP, Financial Advice Provider, Roles, Business, News & Insights
    Type
    Page

  13. 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.
    Tags
    Consultations, FMC Act, Legislation, Business
    Type
    PDF

  14. 12 March 2018

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

    This consultation is for licensed derivative issuers, managers of managed investment schemes, providers of discretionary investment management services, and other interested parties. It aims to gain feedback on our proposals for regulatory returns for licensed DI, MIS managers and DIMS providers.
    Tags
    Derivative Issuer, Discretionary investment management scheme (DIMS), Consultations, Roles, Business, Managed investment schemes
    Type
    PDF