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  2. 13 March 2015

    Financial Markets Conduct Act exemptions consultation paper

    The offer and management of most financial products will fall under the standard ‘regulated offer’ regime or within the Schedule 1 statutory exclusions. However, there are a few areas where the FMA may need to use class exemptions, frameworks, or methodologies and designations (the FMA’s legislative tools). We want preliminary comments on matters we believe should be considered for support by the FMA’s legislative tools, but for which we have not yet developed policy proposals. Your feedback will be considered in the development of our proposals

  3. 1 March 2015

    RBNZ designation and oversight of designated settlement system

    This document explains Part 5C of the Reserve Bank of New Zealand Act 1989 and the roles and policies of the Reserve Bank and the Financial Markets Authority in relation to the designation and oversight of designated settlement systems.

  4. 27 February 2015

    Issuers registers of regulated products and the FMAs discretion under section 224

    This information sheet outlines the requirements relating to issuers’ registers of regulated products under Subpart 4 of Part 4 of the Financial Markets Conduct Act 2013 (FMC Act). It also sets out how the FMA will exercise its discretion to authorise an issuer to decline a request for a copy of a register under section 224 of the FMC Act.

  8. 24 February 2015

    Reporting SIPO limit breaks Information sheet

    This information sheet outlines the reporting obligations of a Managed Investment Scheme (MIS) manager if there has been a limit break under its Statement of Investment Policy and Objectives (SIPO) under Part 4 of the Financial Markets Conduct Act 2013 (FMC Act).

  10. 20 February 2015

    Going Public - a directors guide

    This guide is intended to help directors assess whether going public is the right choice for their company and provide an insight into the process of becoming a public company. It is not a comprehensive account of the legal obligations of directors during an initial public offering (IPO).

  11. 15 January 2015

    Institute of Directors - Directors guide

    This guide from the IoD outlines some of the essential behaviours directors should demonstrate to meet legal, regulatory and ethical standards, and tells you where you can go to find out more.

  12. 19 December 2014

    Consultation Personalised DIMS response to submissions

    The table in this paper summarises the submissions made on our Consultation paper: Personalised DIMS under the Financial Advisers Act 2008 (“the Act”) released on 19 November 2014. Five written submissions were received. The FMA has considered all submissions and our response to the main issues is set out in the table below.

  13. 19 December 2014

    Response to submissions Consultation paper Personalised DIMS.1

    The table in this paper summarises the submissions made on our Consultation paper: Personalised DIMS under the Financial Advisers Act 2008 (“the Act”) released on 19 November 2014. Five written submissions were received. The FMA has considered all submissions and our response to the main issues is set out in the table below.

  15. 1 December 2014

    Consultation Fund update template and guidance for calculating risk indicators

    This paper is for market participants that manage funds and for their supervisors and investors. It explains how we propose to use two of the tools available to the FMA under the Financial Markets Conduct Act 2013 (FMC Act) and the Financial Markets Conduct Regulations 2014 (Regulations) to support the new offers regime for managed funds. We are consulting on a proposed ‘frameworks or methodologies’ (FM) template for fund updates and new guidance for calculating risk indicators.