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 3 of 4

    • Closed - with decision

    25 July 2016

    Consultation paper: Reviews of the Financial Markets Authority funding and the Financial Markets Authority levy

    Consultation paper: Reviews of the Financial Markets Authority funding and the Financial Markets Authority levy. We are seeking views on the proposals to provide class exemptions which provide co-operative companies and industrial and provident societies a lighter path of compliance with the Financial Markets Conduct Act 2013 (FMC Act) when they offer their members shares of minimal value.

    https://fma.cwp.govt.nz/compliance/consultation/consultation-paper-reviews-of-the-financial-markets-authority-funding-and-the-financial-markets-authority-levy/

    • Closed - with decision

    7 April 2016

    Consultation paper: Exemption for small offers of co-operative shares

    Consultation paper: Exemption for small offers of co-operative shares. We are seeking views on the proposals to provide class exemptions which provide co-operative companies and industrial and provident societies a lighter path of compliance with the Financial Markets Conduct Act 2013 (FMC Act) when they offer their members shares of minimal value.

    https://fma.cwp.govt.nz/compliance/consultation/consultation-paper-exemption-for-small-offers-of-co-operative-shares/

    • Closed - with decision

    17 December 2015

    Consultation paper: Proposed exemptions for existing property schemes

    Consultation paper: Proposed exemptions for existing property schemes. We are considering possible exemptions to address some of the issues faced by existing property schemes or syndicates in complying with certain requirements under the Financial Markets Conduct Act 2013 (FMC Act).

    https://fma.cwp.govt.nz/compliance/consultation/consultation-paper-proposed-exemptions-for-existing-property-schemes/

    • Closed - with decision

    24 November 2015

    Consultation paper: Draft guidance on risk indicators and descriptions of managed funds

    Consultation paper: Draft guidance on risk indicators and descriptions of managed funds. This consultation paper proposes guidance on how managed funds should describe a fund’s risk category, the methodology for calculating risk indicators, what to look out for when naming the funds to reflect their risk profile, and when to update investors when a fund’s risk category changes.

    https://fma.cwp.govt.nz/compliance/consultation/consultation-paper-draft-guidance-on-risk-indicators-and-descriptions-of-managed-funds/

    • Closed - with decision

    29 September 2015

    Consultation paper: Proposed FMC Act designation & exemption for companies used to manage costs in real property communal facilities

    Consultation paper: Proposed FMC Act designation & exemption for companies used to manage costs in real property communal facilities. Read more here.

    https://fma.cwp.govt.nz/compliance/consultation/consultation-paper-proposed-fmc-act-designation-and-exemption-for-companies-used-to-manage-costs-in-real-property-communal-facilities/

    • Closed - with decision

    9 September 2015

    Consultation paper: Proposed FMC Act exemption for offers made through AFAs providing personalised DIMS

    Consultation paper: Proposed FMC Act exemption for offers made through AFAs providing personalised DIMS. The FMA is seeking comment on whether there is a need for exemption relief for offerors who sell financial products through AFAs providing personalised discretionary investment management services (DIMS) under the Financial Advisers Act 2008 (FA Act).

    https://fma.cwp.govt.nz/compliance/consultation/consultation-paper-proposed-fmc-act-exemption-for-offers-made-through-afas-providing-personalised-dims/

    • Closed - with decision

    3 September 2015

    Consultation paper: Proposed amendments to the Auditor Regulation Act (Prescribed Minimum Standards and Conditions for Licensed Auditors and Registered Audit Firms) Notice 2012

    Consultation paper: Proposed amendments to the Auditor Regulation Act (Prescribed Minimum Standards and Conditions for Licensed Auditors and Registered Audit Firms) Notice 2012. Read more here.

    https://fma.cwp.govt.nz/compliance/consultation/consultation-paper-proposed-amendments-to-the-auditor-regulation-act-prescribed-minimum-standards-and-conditions-for-licensed-auditors-and-registered-audit-firms-notice-2012/

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