1. Compliance
  2. Consultation


About this section

For the latest on policy decisions and matters we are still exploring with legislative tool solutions, see our Regulation Updates section. If you would like to be notified when consultations open for submissions please subscribe to our consultation alerts. 

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Found 87 results. Displaying page 1 of 5

    • Closed - with decision

    17 December 2018

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

    We are consulting on our proposed exemption to allow for same class offers of ASX-quoted financial products of ASX/NZX-listed issuers on an equivalent basis as the same class offers exclusion. if granted, the exemption is expected to help attract secondary listings to NZX.


    • 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.


    • Closed - pending response

    8 August 2018

    Consultation paper: Proposed exemption for restricted schemes from custodian assurance requirements

    We are considering if we should grant a class exemption for custodians of restricted MIS schemes so they will no longer have obtain an assurance engagement with a qualified auditor on the design and operational effectiveness of the custodian’s processes, procedures and controls.


    • 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.


    • Closed - pending response

    25 June 2018

    Consultation paper: Proposed exemption from requirement to name assets

    We are consulting on a proposal to grant a class exemption to funds invested in loans secured by first-ranking mortgages from having to disclose the names of individual borrowers to investors provided other relevant information has been disclosed. Submissions close on 23 July, 2018.


    • Closed - pending response

    16 April 2018

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

    We are seeking feedback from market licensees on a proposal to require licensees to make an annual declaration of compliance as part of the regulatory return.