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25 November 2015

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

This notice is the Auditor Regulation Act (prescribed minimum standards for Licensed Auditors and Registered Audit firms) amendment notice 2015.

Tags

Compliance, Auditors, Roles, Standard conditions, Licensing & registration, Business

Type

PDF
12 March 2018

Annual Regulatory returns for licensed Derivative Issuers questions

Annual regulatory return information to be provided by licensed Discretionary Investment Management Services (DIMS) providers to the FMA

Tags

Discretionary investment management scheme (DIMS), Roles, Business

Type

Word document
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
22 May 2017

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

This consultation is for: managers, supervisors, auditors,
administration managers, investors. It aims to: seek feedback on the exemption proposal for bundled unit trusts.

Tags

Auditors, Consultations, Roles, Business, Supervisor

Type

PDF
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
25 January 2017

Regulatory Impact Statement – Forestry schemes 2017

This document is for managers, supervisors, custodians and investors in forestry schemes. It discusses exemptions granted to forestry schemes.

Tags

RIS, Business

Type

PDF
25 January 2017

Regulatory Impact Statement – Property schemes 2017

This document is for: managers, supervisors, custodians
and investors in property schemes. It discusses exemptions granted to property schemes.

Tags

RIS, Business

Type

PDF
18 July 2017

Regulatory impact statement – Methodology for calculating fees in KiwiSaver annual statements 2017

Regulatory impact statement – Methodology for calculating fees in KiwiSaver annual statements. This document is for
KiwiSaver providers.

Tags

KiwiSaver providers, RIS, Roles, Business, Managed investment schemes

Type

PDF
15 May 2017

Regulatory Impact Statement: Designation of shares in investment companies 2017

This document is for investment companies, managers, advisers. It discusses a class designation of certain shares in investment
companies as managed investment products.

Tags

RIS, Business

Type

PDF
10 October 2017

Regulatory Impact Statement: Non-NZX Broker Client Money 2017

This document is for non-NZX brokers and their clients. It discusses an exemption granted to non-NZX brokers

Tags

RIS, Business

Type

PDF
30 October 2018

RIS Exemption to enable dual-language product disclosure statements

RIS: Exemption to enable dual-language product disclosure
statements. October 2018

Tags

Offer disclosure for equity and debt offers, RIS, Roles, Business

Type

PDF
15 November 2019

Regulatory Impact Statement: FAP transitional licence

Regulatory Impact Statment: standard conditions Financial advice provider transitional licences November 2019

Tags

RIS, New Financial Advice regime, Business

Type

PDF
14 June 2021

Regulatory Impact Statement - Exemptions for Catalist Markets listed issuers for same class offers and small offers

This document is for issuers listed on Catalist Markets, their
advisers, and other interested parties. It discusses
exemptions to enable Catalist listed issuers to make ‘same
class’ offers and small offers of $2 million or less through the
market.

Tags

RIS, Business

Type

PDF
10 February 2016

Regulatory impact statement - Investor warning and acknowledgement exemptions for the $750,000 minimum investment wholesale investor exclusion

This regulatory impact statement analyses options considered in course of policy work leading to a final decision to exempt offerors of certain debt securities relying on the $750,000 minimum investment wholesale investor exclusion, on conditions, from having to include investor warnings on offer documents and obtain an investor acknowledgement.

Tags

RIS, Business

Type

PDF
5 July 2016

Kiwisaver Statements survey results 2016

In May 2016, Colmar Brunton carried out research for the FMA among the general public to understand how KiwiSaver statements are perceived and how people use them.

Tags

Reports and Papers, KiwiSaver providers, Roles, Business, Managed investment schemes, News & Insights, Supervisor

Type

PDF, Research