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1. 26 June 2015

   DIMS providers Calculation of returns for information sheet

   This information sheet outlines what methodology we expect providers of Discretionary Investment Management Services (DIMS) licensed under the Financial Markets Conduct Act 2013 (Act) (DIMS licensees) to use when calculating returns required by the Financial Markets Conduct Regulations 2014 (Regulations).

2. 19 December 2014

   Response to submissions Consultation paper Personalised DIMS.1

   The table in this paper summarises the submissions made on our Consultation paper: Personalised DIMS under the Financial Advisers Act 2008 (“the Act”) released on 19 November 2014. Five written submissions were received. The FMA has considered all submissions and our response to the main issues is set out in the table below.

3. 25 March 2021

   Consultation Response to submissions regulatory returns DI MIS DIMS

   Response to consultation submissions: Content of regulatory returns for licensed DI, MIS managers and DIMS providers.

4. 9 November 2014

   Consultation paper personalised DIMS under the FA Act 2008

   Consultation Paper - 19 November 2014 - The Financial Markets (Repeals and Amendments) Act 2013 introduces amendments to the Financial Advisers Act 2008 (the FA Act). This means for a person to be authorised to provide a Personalised DIMS they must meet the prescribed eligibility criteria.

5. 3 September 2024

   Data relating to NZ Investment Market OIA 2024 response

   Data on the NZ Investment market, Financial Advisers and DIMS licences

6. 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

7. 16 March 2015

   Proposed financial reporting exemptions for small and medium sized DIMS providers consultation paper

   The FMA is considering a class exemption for small and medium-sized licensed DIMS providers from certain financial reporting obligations. Our proposal is to put in place an exemption that will gradually introduce reporting and auditing requirements based on the size of the DIMS provider.

8. 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.

9. 12 July 2023

   Consultation paper Proposed standard condition on business continuity and technology systems

   Consultation on a proposed new business continuity and technology systems standard condition for managers of registered schemes (but not restricted schemes), DIMS providers, derivatives issuers, peer-to-peer lending providers and crowdfunding service providers.

10. 1 June 2014

    Certificate of compliance and authority to apply applicant or their authorised person

    Certification of Applicant's compliance with requirements and authority to apply for market service licence under Part 6 of the FMC Act 2013. This is relevant to Crowd funding; Peer-to-peer; MIS; DIMS; derivative issuers and independent trustee applicants.

11. 1 November 2014

    Declaration by senior manager of related body

    This declaration should be completed by the the senior manager of a related body when applying for a market service licence. This is relevant to senior managers of crowd funding services; peer-to-peer; MIS managers; DIMS providers; Derivative issuers and independent trustees.