1. Compliance
  2. Consultation

Consultation

Consultation is an important part of our policy development process. 

Our consultation is designed to encourage quality engagement from interested businesses and individuals, balanced with the need to complete policy work within the required timeframe. When consulting on policy development we will:

  • post upcoming consultation on our homepage calendar as they are scheduled
  • publish consultation documents that clearly describe the issue we’re seeking feedback on
  • provide a reasonable amount of time for respondents to provide quality feedback.  If you need more time, please contact the FMA
  • publish the feedback we receive through consultation, usually via a summary of the key themes, our response and the names of submitters
  • undertake further consultation if our initial proposal changes significantly and we need additional feedback  
  • publish a regulatory impact statement for significant policy decisions

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Found 78 results. Displaying page 1 of 4

    • Open

    5 October 2021

    Consultation on 2021 Financial Markets Authority funding and levy review

    Ministry of Business, Innovation and Employment (MBIE) and the FMA are consulting on proposed changes to the FMA’s funding and the FMA levy. The funding review has been subject to a Deloitte independent assessment and Deloitte’s findings are published alongside the consultation materials on the MBIE website. View details of the consultation on this page.

    http://fma.cwp.govt.nz/compliance/consultation/consultation-fma-funding-and-levy-review/

    • Closed - with decision

    25 March 2021

    Consultation paper: Content of regulatory returns for licensed DI, MIS managers and DIMS providers

    This consultation outlines the information we plan to ask about the regulatory returns for those providers. These returns are required by law and help us make sure licensees continue to perform their market services effectively, post-licensing

    http://fma.cwp.govt.nz/compliance/consultation/consultation-paper-content-of-regulatory-returns-for-licensed-di-mis-managers-and-dims-providers/

    • Closed - with decision

    10 March 2021

    Consultation: Recognition of Australian adviser qualifications

    Consultation: Recognition of Australian adviser qualifications. When the new regime is in force, we propose to recognise that individual Australian advisers demonstrate the competence, knowledge and skill standards set by the Code if they hold certain Australian adviser qualifications, and to confirm this in a statement on our website.

    http://fma.cwp.govt.nz/compliance/consultation/consultation-recognition-of-australian-adviser-qualifications/

    • Closed - with decision

    11 December 2020

    Consultation paper: Prescribed Minimum Standards and Conditions for Licensed Auditors and Registered Audit Firms Notice 2020

    The FMA issued the Auditor Regulation Act (Prescribed Minimum Standards and Conditions for Licensed Auditors and Registered Audit Firms) Notice 2012 (the Notice) on 18 April 2012, and (Prescribed Minimum Standards and Conditions for Licensed Auditors and Registered Audit Firms) Amendment Notice 2015 (the Amendment) on 9 November 2015.

    http://fma.cwp.govt.nz/compliance/consultation/consultation-prescribed-min-standards-conditions-licensed-auditors-registered-audit-firms/

    • Closed - with decision

    17 December 2018

    Consultation paper: Proposed exemption for same class offers of ASX NZX-quoted financial products

    The notice provides exemptions for offers of financial products of the same class as ASX-quoted financial products in cases where the ASX-listed issuer has a secondary listing with NZX on an equivalent basis as the same class offers exclusion in Schedule 1 of the FMC Act, with modifications that enable Australian issuers operating under Australian regulatory requirements to give cleansing notices to ASX and NZX.

    http://fma.cwp.govt.nz/compliance/consultation/consultation-paperproposed-exemption-for-same-class-offers-of-asx-nzx-quoted-financial-products/

    • Closed - with decision

    1 November 2018

    Consultation paper: Determining whether you are acquiring a business or assets

    We are consulting on guidance on how to determine whether a business has been acquired (or is to be acquired). Under the FMC Regulations, prescribed financial information about business acquisitions must be included in the PDS for an offer of debt or equity. It is sometimes not clear what is a business acquisition for these purposes.

    http://fma.cwp.govt.nz/compliance/consultation/consultation-paper-determining-whether-you-are-acquiring-a-business-or-assets/