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  2. 12 March 2018

    Annual Regulatory returns for DIMS providers 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, Regulatory returns, Business
    Type
    Word document

  4. 9 December 2020

    Consultation Standard conditions FAP submissions combined part one

    Summary of key themes: Consultation on the proposed standard conditions for financial advice provider full licences and classes of financial advice service.
    Tags
    Financial Advice Provider, Consultations, Roles, Standard conditions, Licensing & registration, Business
    Type
    PDF

  5. 25 June 2019

    Consultation transitional licensing standard conditions

    Consultation: Proposed standard conditions for financial advice provider transitional licences
    Tags
    New Financial Advice regime, Consultations, Standard conditions, Licensing & registration, Business
    Type
    PDF

  6. 9 December 2020

    Consultation Standard conditions FAP submissions combined part two

    Summary of key themes: Consultation on the proposed standard conditions for financial advice provider full licences and classes of financial advice service.
    Tags
    Financial Advice Provider, Consultations, Roles, Standard conditions, Licensing & registration, Business
    Type
    PDF

  7. 5 November 2020

    FAP standard conditions full licence RIS

    This Regulatory Impact Statement (RIS) discusses standard conditions for financial advice provider (FAP) licences, to be
    imposed by the FMA.
    Tags
    RIS, Financial Advice Provider, Roles, Standard conditions, Licensing & registration, Business
    Type
    PDF

  9. 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

  10. 17 December 2015

    Consultation paper Forestry scheme issues and exemption proposals

    This consultation is for Forestry scheme issuers, supervisors, managers and investors.It aims to: Seek views from the industry and investors on whether forestry schemes should be granted exemptions from certain obligations, and outline FMA’s view on how schemes can approach some
    compliance obligations.
    Tags
    Consultations, Roles, Business, Supervisor
    Type
    PDF

  11. 17 December 2015

    Consultation paper proposed exemptions for existing property schemes

    This consultation is for property scheme managers, supervisors, custodians and investors. It aims to:
    outline the FMA’s view on how existing property
    schemes can approach new compliance obligations, and
    seek views from the industry and investors on whether these schemes should be granted exemptions from certain obligations.
    Tags
    Consultations, Roles, Business, Supervisor
    Type
    PDF

  12. 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

  13. 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