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  1. 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

  2. 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

  6. 2 February 2017

    Submissions Report Conduct Guide consultation

    This is a summary of the submissions received by the FMA in response to the consultation of draft guide to the FMA's view of conduct, 2017.
    Tags
    Conduct, Consultations, Business
    Type
    PDF, Submission form

  7. 4 August 2017

    Consultation Paper Market Index

    This consultation is for MIS managers, advisers, supervisors,
    and investors. It seeks feedback on a proposed exemption from the market index requirement.
    Tags
    Roles, Business, Managed investment schemes, Supervisor
    Type
    PDF

  9. 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.
    Tags
    Derivative Issuer, Discretionary investment management scheme (DIMS), Consultations, Roles, Business, Managed investment schemes
    Type
    PDF

  10. 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

  12. 1 August 2014

    Fair dealing provisions transitional arrangements for advertising information sheet

    The fair dealing provisions relating to “financial products” and “financial services” make it an offence to engage in misleading or deceptive conduct in relation to financial products or to make false, misleading or unsubstantiated representations about financial products.
    Tags
    Fair dealing, Derivative Issuer, Offer disclosure for equity and debt offers, Roles, Business
    Type
    PDF, Information Sheet

  13. 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

  14. 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

  15. 1 December 2014

    Information Sheet Debt offers one off

    Overview of timeline for debt offers transitioning to the FMC Act.
    Tags
    Offer disclosure for equity and debt offers, Roles, Business
    Type
    PDF, Information Sheet