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  9. 10 October 2022

    Questions for FAP Class 2 regulatory returns

    Questions you will be asked online when you submit your FAP Class 2 regulatory return.
    Tags
    Financial Advice Provider, Consultations, Regulatory returns, Roles, Business
    Type
    Word document

  11. 11 December 2020

    Consultation paper: Prescribed Minimum Standards and Conditions for Licensed Auditors and Registered Audit Firms Notice 2020

    The FMA issued the Auditor Regulation Act (Prescribed Minimum Standards and Conditions for Licensed Auditors and Registered Audit Firms) Notice 2012 (the Notice) on 18 April 2012, and (Prescribed Minimum Standards and Conditions for Licensed Auditors and Registered Audit Firms) Amendment Notice 2015 (the Amendment) on 9 November 2015.
    Tags
    Auditors, Consultations, Roles, Business
    Type
    Page

  14. 16 July 2018

    Exemption from the market index requirement guidance

    This guidance note aims to clarify what we expect of MIS managers in relation to the market index requirement for quarterly fund updates.
    Tags
    Roles, Business, Managed investment schemes
    Type
    PDF, Guidance

  15. 13 December 2013

    Consultation Papers on draft minimum standards and conditions for new licenses

    CONSULTATION PAPER: The Financial Markets Conduct Act 2013 (the Act) introduces licensing for providers offering certain types of financial services. We are now consulting on the proposed minimum standards for these licence types. Read more here.
    Tags
    Crowdfunding providers, Derivative Issuer, Discretionary investment management scheme (DIMS), Independent trustee, Licensing & registration, Consultations, Roles, Business, Managed investment schemes, Peer-to-peer lending service providers
    Type
    Page