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

Show advanced search

Clear all

Found 79 results. Displaying page 4 of 4

    • Closed - with decision

    19 November 2014

    Consultation paper: Personalised DIMS under the Financial Advisers Act 2008

    Consultation paper: Personalised DIMS under the Financial Advisers Act 2008 paper outlines the proposed minimum standards the FMA will use to assess eligibility to provide Personalised DIMS. The paper also outlines the proposed additional standard conditions.

    https://fma.cwp.govt.nz/compliance/consultation/consultation-paper-personalised-dims-under-the-financial-advisers-act-2008/

    • Closed - with decision

    3 November 2014

    Consultation Paper: Issuers’ Registers of Regulated Products and FMA’s Discretion under Section 224

    Consultation Paper: Issuers’ Registers of Regulated Products and FMA’s Discretion under Section 224. This paper gives an overview of the requirements relating to issuers’ registers of regulated products under Subpart 4 of Part 4 of the Financial Markets Conduct Act 2013 (FMC Act).

    https://fma.cwp.govt.nz/compliance/consultation/consultation-paper-issuers-registers-of-regulated-products-and-fmas-discretion-under-section-224/

    • Closed - with decision

    30 September 2014

    Consultation Paper: The new accountability framework - Governance under Part 4 of the FMC Act

    Consultation Paper: The new accountability framework - Governance under Part 4 of the FMC Act. 10 submissions were received. Many of the comments were incorporated into a guidance note, outlining our expectations for governance under Part 4 of the FMC Act.

    https://fma.cwp.govt.nz/compliance/consultation/consultation-paper-the-new-accountability-framework-governance-under-part-4-of-the-fmc-act/

    • Closed - with decision

    31 January 2014

    Consultation: Financial Reporting - Regulatory policy for financial reporting designations and exemptions

    Consultation: Financial Reporting - Regulatory policy for financial reporting designations and exemptions. We invite you to review our policies and the proposed changes and share your feedback on them with us. Submissions close on 28 February 2014.

    https://fma.cwp.govt.nz/compliance/consultation/consultation-financial-reporting-regulatory-policy-for-financial-reporting-designations-and-exemptions/

    • Closed - with decision

    11 July 2013

    Consultation paper: Practical implications of Reporting Entities transacting with other Reporting Entities and the Factsheet on Managing Intermediaries

    Consultation paper: Practical implications of Reporting Entities transacting with other Reporting Entities and the Factsheet on Managing Intermediaries. Read more here.

    https://fma.cwp.govt.nz/compliance/consultation/consultation-paper-practical-implications-of-reporting-entities-transacting-with-other-reporting-entities-and-the-factsheet-on-managing-intermediaries/