Derivatives Issuer Standard Conditions – updated to include suitability of products for clients
Following our consultation last year, we have now updated the standard conditions for Derivatives Issuers licensed under the FMC Act. We have also published our response to the submissions received. The updated conditions now include a condition relating to an assessment of suitability of products for clients. Importantly, this condition comes into effect on 1 December 2015. Read more >
Auditor regulation survey - have your say
Earlier this week we launched a survey to measure how effective the auditor oversight regime has been working, what issues people are talking about and where they see the greatest opportunities for improvement.
We would like to get as much feedback as possible as the results will help us to refine the auditor oversight regime and will be published later this year.
The survey takes about five minutes to complete and all responses are completely anonymous.
Please note, only one person per organisation may take part in this survey. This is to ensure the data we receive does not bias one type of market participant.
The survey closes on Friday 1 May but if you’d like to find out more please visit our website.
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