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  1. 27 February 2018

    Corporate governance handbook consultation submissions report

    This document summarises the key themes from the submissions to our consultation for the updated Corporate Governance Handbook, and our response to them. It also includes the individual submissions.
    Tags
    Directors, Governance, Consultations, Roles, Business, FMA
    Type
    PDF, Information Sheet

  2. 16 April 2018

    Consultation paper annual declaration and change to standard condition

    This consultation is for all market service licensees and seeks to gain feedback on our proposals for an annual declaration of compliance from licensees as part of regulatory returns, and changes to the standard regulatory returns condition.
    Tags
    Consultations, Roles, Business, Market operator
    Type
    PDF

  3. 17 April 2018

    Consultation paper Proposed exemption to enable dual language PDS

    This consultation paper is for issuers of financial products and seeks feedback on the exemption proposal to enable issuers to provide dual-language PDSs.
    Tags
    Derivative Issuer, Offer disclosure for equity and debt offers, Consultations, Roles, Business
    Type
    PDF

  5. 20 February 2023

    Consultation CoFI id draft guidance

    This DRAFT guidance document relates to the consultation seeking feedback on proposed guidance that outlines our expectations when financial institutions are distributing products and services through intermediaries, under the CoFI regime.
    Tags
    Banking, Consultations, Insurance Providers, Conduct of Financial Institutions Bill (CoFI), Financial Institutions, Business
    Type
    PDF

  6. 23 April 2015

    DIMS limit breaks under the FMC Act

    This information sheet outlines the obligations of Discretionary Investment Management Services (DIMS) providers under the Financial Markets Conduct Act 2013 (FMC Act) relating to investment authority limits and reporting breaches of those limits.
    Tags
    Discretionary investment management scheme (DIMS), Roles, Business
    Type
    PDF, Information Sheet

  7. 2 February 2016

    Guide for charities

    This information sheet outlines the options for community and voluntary organisations wanting to borrow money from investors. (This does not include donations).
    Tags
    Offer disclosure for equity and debt offers, Roles, Business
    Type
    PDF

  8. 27 February 2015

    Issuers registers of regulated products and the FMAs discretion under section 224

    This information sheet outlines the requirements relating to issuers’ registers of regulated products under Subpart 4 of Part 4 of the Financial Markets Conduct Act 2013 (FMC Act). It also sets out how the FMA will exercise its discretion to authorise an issuer to decline a request for a copy of a register under section 224 of the FMC Act.
    Tags
    Derivative Issuer, Offer disclosure for equity and debt offers, Roles, Business
    Type
    PDF, Information Sheet

  11. 22 February 2018

    RIS Exemption to enable personalised digital advice 2018

    This regulatory impact statement (RIS) is for financial adviser entities, advisers, and other interested parties. It discusses an exemption to enable the provision of personalised digital advice services.
    Tags
    RIS, Financial Advice Provider, Financial Adviser, Roles, Business
    Type
    PDF

  14. 10 November 2014

    Gentrack IPO Report November 2014

    This report published in 2014 describes our conclusions following a review of matters arising out of Gentrack’s initial public offering (IPO) of shares and its disclosure at the time of the IPO. Our review has not covered matters
    relating to Gentrack’s continuous disclosure obligations under the Securities Markets Act 1988 or the NZX
    listing rules. These matters have been reviewed by NZX.
    Tags
    Reports and Papers, Investigations, News & Insights, Enforcement
    Type
    PDF

  15. 9 December 2015

    CPA Australia accredited body report 2015

    The Auditor Regulation Act 2011 (the Act) requires the FMA to monitor the audit regulatory systems of accredited bodies to ensure that these systems and processes are adequate and effective. This report contains the outcome of our monitoring assessment of CPA Australia for the period 1 July 2014 to 30 June 2015.
    Tags
    Reports and Papers, Auditors, Roles, Business, News & Insights
    Type
    PDF