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The New Financial Markets Conduct Act - an introduction - Online CPD

NZ $255.00
Liam Mason Jeremy Muir 2014 Mark Stuart 2014
Liam Mason
Jeremy Muir
Minter Ellison Rudd Watts
Mark Stuart
Minter Ellison Rudd Watts

Package includes:

Online CPD module  l  Booklet  l  PowerPoint Presentation


Package Fee (incl GST)

  • $205 - NZLS members and Associate members
  • $255 - Non-members

Note: Access to the online files is via your "My CPD" page. If you would like to purchase multiple packages, please contact us here.


Online CPD module

Presentation time: 120 minutes

The new Financial Markets Conduct Act, which commences from 1 April 2014, is a fundamental piece of legislation, introducing major reforms to securities regulation that will impact significantly upon how practitioners advise clients.

The aim of this seminar is to provide a practical and interactive conversion course from the old Securities Act and related legislation to a radically different and all encompassing Act. It is essential for general practitioners in this area to fully understand how it will change current practices and to be prepared for the unexpected places where it will be applicable.

This introduction will cover

  • The scope of the new Act and transitional periods
  • Financial products and regulated offers
  • Licensing and governance
    - Who needs a licence?
    - Managed investment schemes
    - Discretionary investment management services (DIMS)
  • Liabilities and enforcement
    - The role of the FMA
    - What the FMA is seeking to achieve and its approach to the legislation.

Learning objectives

You will:
  • Understand the concepts behind the Act.
  • Understand the timetable for implementation.
  • Recognise when the Act applies.

Please contact us if you use a dial up internet connection.

Electronic Booklet

Authors: Liam Mason, Jeremy Muir, Mark Stuart
Published: 18 June 2014
Pages: 73
Electronic booklet can be downloaded from My CPD > My Online CPD after purchase.


A review of the Act

The Financial Markets Conduct Act 2013 (Act or FMCA) was introduced as a ‘once-in-a generation opportunity to re-write our securities law – which has been subject to decades of ad hoc reform – in an integrated and coherent manner’.

It is the result of a comprehensive review of financial markets legislation and takes into account the work of the Capital Markets Development Taskforce, the effects of the global financial crisis, and the failure of finance companies.

The Act completely overhauls existing securities and financial markets law with a consolidated financial markets conduct regime in an effort to improve financial markets conduct and restore investor confidence.

PowerPoint Presentation

These are the slides included in the presentation.
Number of Slides: 87

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