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1. 26 May 2016

   Fee Disclosure For Managed Funds guidance

   This guidance helps managers and supervisors understand how fees should be disclosed in Product Disclosure Statements, fund updates and, in respect of KiwiSaver schemes, confirmation information. It includes guidance on the classification and disclosure of performance-based fees, management and administration charges, underlying fund charges, and how to use third-party information.

2. 19 May 2016

   Licensing guide - MIS managers of forestry schemes

   This guide supplements Part B of our licensing application guides. It explains to businesses providing a managed investment scheme (MIS) service of a forestry scheme how to approach their licence application under the Financial Markets Conduct Act 2013 (FMC Act).

3. 17 May 2016

   Consultation: Class exemption for property schemes

   Consultation to address the specific characteristics of property schemes (MIS) that recognises that full compliance with some specific requirements may be unnecessary and overly burdensome.

4. 17 May 2016

   Exemption notice - some property schemes

   The FMA believes that property schemes generally can and should comply with the same licensing and governance requirements under the FMC Act as other managed investment schemes (MIS). However given the characteristics of property schemes, we recognise that full compliance with some specific requirements may be unnecessary, and the cost is likely to outweigh benefits for investors. As a result, we have approved class exemptions for property schemes and their custodians to address these matters.

5. 22 March 2016

   Response to submissions proposed variations to standard conditions of market services licences

   This document summarises key themes from the 18 written submissions we received following consultation in November and December 2016 on our proposals to vary certain standard conditions for market service licences.

6. 3 March 2016

   IFIAR Survey of Inspection Findings 2015

   In 2015, the International Forum of Independent Audit Regulators (IFIAR) conducted its fourth annual survey of findings (Survey) identified by its Members in their individual inspections of audit firms affiliated with six large, international audit firmnetworks, referred to as the GPPC networks.

7. 1 March 2016

   Consultation paper Exemptions impacting overseas businesses and restricted schemes 1

   This consultation is for: FMC reporting entities, licensed managers and scheme auditors, overseas banks, licensed independent trustees, restricted scheme managers, advisers and interested parties. It aims to seek feedback on the exemption proposals explained.

8. 25 February 2016

   Performance Fee Disclosure information sheet

   This information sheet outlines how we expect fund managers to disclose performance-based fees to investors.

9. 25 February 2016

   PIR Returns information sheet

   This information sheet sets out the formula we expect managers of portfolio investment entity (PIE) funds to use when calculating a fund’s return with a 0% prescribed investor rate.

10. 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).

11. 1 February 2016

    AML/CFT annual monitoring report 2015

    The aim of this report is to summarise our monitoring to help firms and individuals better understand our expectations, and therefore improve their systems and processes, and ensure compliance with the Act. This report covers the period from 1 July 2014 to 30 June 2015.

12. 12 January 2016

    NZMDT Market Rules 2016

    This notice allows for the NZX to replace the NZ Markets Disciolinary Tribunal Rules date 16 April 2015 with the NZMDT Rules provided to the FMA on 11 Nov 2015

13. 17 December 2015

    Consultation paper Recognition of Overseas regimes proposed exemption relief

    This consultation is for: overseas issuers, overseas FMC reporting entities, their advisers and auditors. It aims to: test the appropriate level of disclosure, governance, financial reporting and audit relief required by overseas entities under the Financial Markets Conduct Act 2013.

14. 17 December 2015

    Consultation paper Forestry scheme issues and exemption proposals

    This consultation is for Forestry scheme issuers, supervisors, managers and investors.It aims to: Seek views from the industry and investors on whether forestry schemes should be granted exemptions from certain obligations, and outline FMA’s view on how schemes can approach some compliance obligations.

15. 17 December 2015

    Consultation paper proposed exemptions for existing property schemes

    This consultation is for property scheme managers, supervisors, custodians and investors. It aims to: outline the FMA’s view on how existing property schemes can approach new compliance obligations, and seek views from the industry and investors on whether these schemes should be granted exemptions from certain obligations.