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  1. 23 August 2019

    Standard conditions for independent trustee individuals

    If the FMA grants you an independent trustee licence (as an individual), the licence will be subject to conditions as set out in section 402 of the Financial Markets Conduct Act 2013 (FMC Act).
    Tags
    Independent trustee, Roles, Standard conditions, Licensing & registration, Business
    Type
    PDF

  5. 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

  7. 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

  8. 9 November 2014

    Consultation paper personalised DIMS under the FA Act 2008

    Consultation Paper - 19 November 2014 - The Financial Markets (Repeals and Amendments) Act 2013 introduces amendments to the Financial Advisers Act 2008 (the FA Act). This means for a person to be authorised to provide a Personalised DIMS they must meet the prescribed eligibility criteria.
    Tags
    Discretionary investment management scheme (DIMS), Consultations, Roles, Business
    Type
    PDF

  9. 5 November 2015

    Consultation paper charities debt securities exemption

    We are consulting on whether charities issuing debt securities should be subject to standard Financial Markets Conduct Act 2013 (FMC Act) obligations. The FMC Act requires organisations offering debt securities to disclose certain information and to have a licensed supervisor.
    Tags
    Consultations, Business
    Type
    PDF

  11. 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

  12. 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

  13. 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