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  1. 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.
    Tags
    Discretionary investment management scheme (DIMS), Exemptions, Roles, Business
    Type
    PDF

  2. 25 August 2015

    Consultation paper scrip offers in takeovers

    This consultation is for businesses and their advisers. It aims to seek views on a proposal not to grant a class exemption from disclosure requirements for offers of financial products made in takeovers.
    Tags
    Consultations, Business
    Type
    PDF

  3. 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

  4. 10 October 2016

    Consultation regulatory returns for prescribed intermediary services

    This consultation aims to gain feedback on our proposals for regulatory returns for licensed crowdfunding and peer-to-peer lending service providers.
    Tags
    Crowdfunding providers, Consultations, Roles, Business, Peer-to-peer lending service providers
    Type
    PDF

  5. 17 May 2016

    Consultation: Class exemption for property schemes

    Consultation to address the specific characteristics of property schemes (MIS) that recognises that full compliance with some specific requirements may be unnecessary and overly burdensome.
    Tags
    Roles, Consultations, Business, Supervisor
    Type
    PDF

  6. 6 March 2017

    Consultation paper Disclosing non GAAP financial information

    This guidance note is primarily for FMC reporting entities and their directors. It aims to outline the FMA's expectations on the use of non-GAAP financial information.
    Tags
    Directors, Consultations, Roles, Auditors, Business
    Type
    PDF

  7. 3 April 2017

    Consultation paper Short duration derivatives

    This consultation is for: interested parties including offerors, investors and legal advisers. It aims to: gain feedback on the impact of a class designation for short duration derivatives.
    Tags
    Derivative Issuer, Consultations, Roles, Business
    Type
    PDF

  8. 11 April 2017

    Consultation paper Improving financial information in an equity PDS

    This consultation is for issuers, their advisors, investors and other interested parties. It aims to seek feedback on our proposed guidance and interpretations of the regulations.
    Tags
    Derivative Issuer, Discretionary investment management scheme (DIMS), Consultations, Roles, Business, Managed investment schemes
    Type
    PDF

  11. 21 June 2017

    Consultation paper Robo advice exemption

    This consultation is for financial advisers, financial product providers, consumers and other interested parties. It seeks feedback on the exemption proposal to facilitate the provision
    of personalised robo-advice.
    Tags
    Authorised body under a FAP, Financial Advice Provider, Financial Adviser, Consultations, Roles, Business, Interposed persons under new financial advice regime
    Type
    PDF