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26 June 2023

CoFI intermediated distribution consultation themes

Summary of key themes. An overview of feedback received as part of consultation on the proposed CoFI guidance note on intermediated distribution.
26 June 2023

CoFI intermediated distribution submissions report

Submissions report: Proposed guidance on CoFI intermediated distribution. Collation of written feedback received as part of the FMA’s public consultation on the proposed CoFI (Conduct of Financial Institutions) guidance note on intermediated distribution.
23 June 2023

Consultation paper proposed guidance for keeping proper CRD records

Consultation paper proposed guidance for keeping proper Climiate Related Dislcosures records.
23 June 2023

Climate Reporting Disclosures and the use of third party providers

Guidance document - climate related disclosure and the use of third party providers
23 June 2023

Proposed guidance and expectations for keeping proper climate-related disclosure records

This PROPOSED guidance note is for entities that have climate-related disclosure obligations under Part 7A of the Financial Markets Conduct Act 2013. It is intended to help climate reporting entities (CREs) to meet their statutory requirement to keep proper climate-related disclosure records at all times.
23 June 2023

Submission form Proposed guidance for keeping proper CRD records

Submission form for response to the Consultation - Proposed guidance for keeping proper CRD records
20 June 2023

Consultation paper Proposed exemptions for CREs in liquidation receivership or voluntary administration

Consultation paper to provide a class exemption to provide relief from climate reporting duties for CREs that are in liquidation, receivership, or voluntary administration.
20 June 2023

Submission form Proposed exemptions for CREs in liquidation receivership or voluntary administration

Submission form for consultation responses - proposed exemptions for CREs in liquidation, receivership, or voluntary administration.
15 June 2023

ICE Futures Europe general obligations review 2023

The 2023 ICE Futures Europe general obligations review focuses on whether the FCA was satisfied with IFEU’s compliance during the review period.
15 June 2023

ICE Futures US general obligations review 2023

The 2023 ICE Futures US general obligations review review focuses on whether the CFTC was satisfied with IFUS’s compliance during the review period.
8 June 2023

Exemption Notice - Financial Market Conduct Christchurch City Holdings limited Subsidiary Balance Date Alignment

Financial Market Conduct (Christchurch City Holdings Limited Subsidiary Balance Date Alignment) Exemption Notice 2023.
31 May 2023

Consultation paper Renewal of class exemption for same class offers ASX NZX quoted financial products

Consultation paper for Renewal of class exemption for same class offers ASX/NZX-quoted financial products.
19 May 2023

Derivative Issuer Regulatory Return Data Template

Regulatory return data template for derivative issuers.
19 May 2023

DIMS Regulatory Return Data Template

DIMS Regulatory Return Data Template.
18 May 2023

Exemption Notice - Embark Early Education Limited

The Financial Markets Conduct (Embark Early Education Limited) Exemption Notice 2023 exempts Embark Early Education Limited (Embark AU) from Part 3 of the Financial Markets Conduct Act 2013 (the Act) in relation to shares in Embark AU that are to be offered to eligible shareholders under a proposed scheme of arrangement pursuant to Part 15 of the Companies Act 1993.