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 79 results. Displaying page 2 of 4

    • Closed - pending response

    10 July 2018

    Consultation paper: Exemptions, other legislative notices, and unnecessary compliance costs

    We seek feedback on any notice that: has not effectively minimised the compliance costs it aims to address causes unintended compliance cost could go further to address, unnecessary compliance costs not identified when the notice was made.

    http://fma.cwp.govt.nz/compliance/consultation/consultation-paper-exemptions-other-legislative-notices-and-unnecessary-compliance-costs/

    • Closed - pending response

    16 April 2018

    Consultation paper: Including an annual declaration of compliance in regulatory returns and updating the standard regulatory returns condition

    Licensees will be asked to confirm they have adequate systems, processes and controls in place to ensure compliance with their market services obligations and that they have operated effectively over the relevant period.

    http://fma.cwp.govt.nz/compliance/consultation/consultation-paper-including-an-annual-declaration-of-compliance-in-regulatory-returns-and-updating-the-standard-regulatory-returns-condition/

    • Closed - with decision

    28 February 2018

    Consultation paper: Updated Corporate Governance Handbook

    The handbook is designed as a guide for a wide range of companies and businesses. The focus in our revised handbook shifts away from listed companies, but remains a practical guide for directors and executives of New Zealand-based companies and entities of various types and size, to help them apply corporate governance principles effectively.

    http://fma.cwp.govt.nz/compliance/consultation/consultation-paper-updated-corporate-governance-handbook-consultation/

    • Closed - with decision

    19 July 2017

    Consultation paper: KiwiSaver annual statements - calculation of total fees in dollars

    We have issued a methodology notice which helps KiwiSaver scheme providers calculate the total fees charged to each investor. See the methodology notice, regulatory impact statement and amended guidance note for managed funds on fee disclosure above.

    http://fma.cwp.govt.nz/compliance/consultation/consultation-paper-kiwisaver-annual-statements-calculation-of-total-fees-in-dollars/

    • Closed - with decision

    22 May 2017

    Consultation paper: Proposed exemption from the obligation to prepare scheme financial statements for bundled unit trusts

    The exemption granted by this notice exempts the manager of the bundled unit trust structures from the requirement to prepare financial statements for the scheme (as opposed to financial statements for each of the separate funds) provided the criteria in clause 5 are met.

    http://fma.cwp.govt.nz/compliance/consultation/consultation-paper-proposed-exemption-from-the-obligation-to-prepare-scheme-financial-statements-for-bundled-unit-trusts/

    • Closed - with decision

    15 May 2017

    Consultation paper: Class designation of shares to managed investment products in an MIS

    Consultation paper: Class designation of shares to managed investment products in an MIS. This consultation paper considers when shares in investment companies may be designated as managed investment products (MIPs). Being MIPs subject these investment companies to the licensing, disclosure and governance requirements of managed investment schemes.

    http://fma.cwp.govt.nz/compliance/consultation/consultation-paper-class-designation-of-shares-to-managed-investment-products-in-an-mis/

    • Closed - with decision

    8 March 2017

    Consultation paper: KiwiSaver advice

    Consultation paper: KiwiSaver advice. This guidance note is for providers advising on KiwiSaver products and will replace our 2012 Guidance Note: Sale and Distribution of KiwiSaver. We are replacing this guidance to recognise feedback that our 2012 approach resulted in some people not getting the help they needed, as firms saw it as risky to provide advice. Read more here.

    http://fma.cwp.govt.nz/compliance/consultation/consultation-paper-kiwisaver-advice/

    • Closed - with decision

    21 February 2017

    Consultation paper: Proposed transitional relief for non-NZX brokers to allow limited use of buffers

    Consultation paper: Proposed transitional relief for non-NZX brokers to allow limited use of buffers. The proposal is to exempt these brokers for a transitional period (until November 2020) from the requirement to keep client money and property in a separate account from their own money and property.

    http://fma.cwp.govt.nz/compliance/consultation/consultation-paper-proposed-transitional-relief-for-non-nzx-brokers-to-allow-limited-use-of-buffers/

    • Closed - with decision

    16 January 2017

    Consultation paper: Requirement for managers of multiple participant schemes to register participation agreements

    Consultation paper: Requirement for managers of multiple participant schemes to register participation agreements. The proposal is to exempt these managers from the requirement to register participation agreements entered into with the various employers they service which form part of the scheme’s governing document.

    http://fma.cwp.govt.nz/compliance/consultation/consultation-paper-requirement-for-managers-of-multiple-participant-schemes-to-register-participation-agreements/

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