Source document: https://docs-lawep.s3.us-east-2.amazonaws.com/1698841649244.pdf (New Zealand)
Version as at 25 July 2023 Financial Markets Conduct (Fees) Regulations 2014 (LI 2014/110) Jerry Mateparae, Governor-General Order in Council At Wellington this 24th day of March 2014 Present: His Excellency the Governor-General in Council Pursuant to section 67 of the Financial Markets Authority Act 2011 and sections 548(1)(o) and 552 of the Financial Markets Conduct Act 2013, His Excellency the Governor-General makes the following regulations, acting— on the advice and with the consent of the Executive Council; and on the recommendation of the Minister of Commerce made in accordance with section 549 of the Financial Markets Conduct Act 2013.
Contents Title Commencement Interpretation Application fees and costs Payment of application fees and costs Page 2 2 2 2 3 (a) (b) Note The Parliamentary Counsel Office has made editorial and format changes to this version using the powers under subpart 2 of Part 3 of the Legislation Act 2019.

Note 4 at the end of this version provides a list of the amendments included in it.

These regulations are administered by the Ministry of Business, Innovation, and Employment.
1 r 1 (1) Financial Markets Conduct (Fees) Regulations 2014 Version as at 25 July 2023 Multiple application discount Fees payable to FMA to be collected by Registrar [Revoked] Other fees payable to FMA Fees and charges payable to Registrar Fees and charges inclusive of GST Schedule 1 Application fees and costs payable to FMA Schedule 2 Other fees payable to FMA Schedule 3 Registry fees Regulations 3 4 4 5 5 6 10 12 Title These regulations are the Financial Markets Conduct (Fees) Regulations 2014.
Commencement These regulations come into force on 1 April 2014.
Interpretation In these regulations, unless the context otherwise requires,— Act means the Financial Markets Conduct Act 2013 crowd funding service has the same meaning as in regulation 185 of the Financial Markets Conduct Regulations 2014 peer-to-peer lending service has the same meaning as in regulation 185 of the Financial Markets Conduct Regulations 2014 vary, in relation to the conditions of a licence, means to vary, revoke, add to, or substitute any of those conditions.
(2) For the purposes of these regulations, individuals working for the FMA as con‐ tractors or secondees must be treated as if they are employees of the FMA.

Regulation 3: replaced, on 1 December 2014, by regulation 4 of the Financial Markets Conduct (Fees) Amendment Regulations (No 2) 2014 (LI 2014/327).

Regulation 3(2): inserted, on 17 December 2015, by regulation 4 of the Financial Markets Conduct (Fees) Amendment Regulations 2015 (LI 2015/279).
Application fees and costs The fees and costs set out in Schedule 1 are payable to the FMA by an appli‐ cant in respect of the matters set out in that schedule.
If Part 1 of Schedule 1 specifies that a fee is to be charged on an hourly basis, the fee— 4 (1) (2) 2 Version as at 25 July 2023 Financial Markets Conduct (Fees) Regulations 2014 r 6 (a) must be determined in accordance with the table of hourly rates set out in Part 2 of Schedule 1; and (b) is payable for every hour and, on a pro rata basis, for every part-hour of work that is carried out.
(3) If Part 1 of Schedule 1 specifies that a fee is to be charged on an hourly basis for hours exceeding a specified number, the hourly fee— (a) must be determined in accordance with the table of hourly rates set out in Part 2 of Schedule 1; and (b) is payable for every hour and, on a pro rata basis, for every part-hour of work that is carried out in excess of the specified number; but (c) is payable only if the FMA has— (i) (ii) notified the applicant, in writing, that the hourly fee will or may be payable; and given the reasons why the number of hours spent on the applica‐ tion has exceeded, or is likely to exceed, the specified number.
Regulation 4: replaced, on 1 December 2014, by regulation 4 of the Financial Markets Conduct (Fees) Amendment Regulations (No 2) 2014 (LI 2014/327).

5 (1) Payment of application fees and costs The fees in Part 1 of Schedule 1, other than those payable on an hourly basis, must accompany the relevant application.

(2) All other fees and costs in Schedule 1 are payable— (a) on the issue of an invoice by or on behalf of the FMA; and (b) within the time frame specified in the invoice.
Regulation 5: replaced, on 1 December 2014, by regulation 4 of the Financial Markets Conduct (Fees) Amendment Regulations (No 2) 2014 (LI 2014/327).

6 (1) (2) (3) Multiple application discount The purpose of this regulation is to ensure that a reduced fee applies to applica‐ tions where there are lower costs for the FMA because the information in the application is being, or has recently been, assessed as part of another licence application.
This regulation applies if a person applies to be licensed for a market service at the same time as, or within 6 months after the date of, applying to be licensed for another market service (whether under the same or a different market ser‐ vices licence and whether under section 395 or, by way of an application to vary the conditions of a licence, under section 404 of the Act).
The FMA must apply a multiple application discount to the fee payable in respect of each additional market service to which the application or applica‐ tions relate.

3 r 7 (4) (5) Financial Markets Conduct (Fees) Regulations 2014 Version as at 25 July 2023 The amount of the multiple application discount may differ according to the type of market service or combination of market services to which the applica‐ tion or applications relate.
For the purpose of applying the multiple application discount, the FMA is authorised to waive or refund, in respect of any person or class of persons, part of a fee that would otherwise be payable under these regulations.
(6) This regulation does not apply if either or both of the applications are— (a) (b) (c) an application for a transitional licence to be issued under clause 71 of Schedule 4 of the Act; or an application to be licensed for the market service of acting as a pro‐ vider of a financial advice service; or an application to be licensed for the market service of acting as a finan‐ cial institution.
(7) An instrument granting a waiver or refund to a class of persons is secondary legislation (see Part 3 of the Legislation Act 2019 for publication require‐ ments).
Legislation Act 2019 requirements for secondary legislation made under this regulation Publication Presentation It is not required to be published It is not required to be presented to the House of Representatives because a transitional exemption applies under Schedule 1 of the Legislation Act 2019 It may be disallowed by the House of Representatives LA19 s 73(2) LA19 s 114, Sch 1 cl 32(1)(a) LA19 ss 115, 116 Disallowance This note is not part of the secondary legislation.
Regulation 6(6): inserted, on 25 November 2019, by regulation 4 of the Financial Markets Conduct (Fees) Amendment Regulations (No 2) 2019 (LI 2019/253).

Regulation 6(6)(c): inserted, on 25 July 2023, by regulation 4 of the Financial Markets Conduct (Fees) Amendment Regulations 2023 (SL 2023/124).

Regulation 6(7): inserted, on 28 October 2021, by regulation 91 of the Legislation Act (Sub-dele‐ gated Secondary Legislation) Regulations 2021 (LI 2021/248).
7 Fees payable to FMA to be collected by Registrar [Revoked] Regulation 7: revoked, on 1 July 2017, by regulation 4 of the Financial Markets Conduct (Fees) Amendment Regulations 2017 (LI 2017/139).

8 (1) (2) Other fees payable to FMA The fees set out in Schedule 2 are payable to the FMA for the work carried out, by FMA members and employees in performing functions and providing ser‐ vices, in relation to the matters set out in that schedule.
If Schedule 2 specifies that a fee is to be charged on an hourly basis, the fee is payable for every hour and, on a pro rata basis, for every part-hour of work that is carried out.

(3) The fees in Schedule 2 that are charged on an hourly basis are payable— 4 Version as at 25 July 2023 Financial Markets Conduct (Fees) Regulations 2014 r 10 (a) on the issue of an invoice by or on behalf of the FMA; and (b) within the time frame specified in the invoice.
(4) All other fees in Schedule 2 must accompany the relevant documents or request.

Regulation 8: inserted, on 1 December 2014, by regulation 5 of the Financial Markets Conduct (Fees) Amendment Regulations (No 2) 2014 (LI 2014/327).

9 (1) Fees and charges payable to Registrar The fees and charges in Schedule 3 are payable in respect of the matters set out in that schedule.
(2) The fees and charges are payable— (a) (b) (c) to the Registrar: at the times prescribed in Schedule 3: by the persons who lodge the relevant documents.

Regulation 9: inserted, on 1 December 2014, by regulation 5 of the Financial Markets Conduct (Fees) Amendment Regulations (No 2) 2014 (LI 2014/327).

10 Fees and charges inclusive of GST The fees and charges prescribed by these regulations are inclusive of goods and services tax.
Regulation 10: inserted, on 1 December 2014, by regulation 5 of the Financial Markets Conduct (Fees) Amendment Regulations (No 2) 2014 (LI 2014/327).

5 Schedule 1 Financial Markets Conduct (Fees) Regulations 2014 Schedule 1 Application fees and costs payable to FMA Version as at 25 July 2023 r 4 Schedule 1 heading: replaced, on 1 December 2014, by regulation 6(1) of the Financial Markets Con‐ duct (Fees) Amendment Regulations (No 2) 2014 (LI 2014/327).
Part 1 Schedule of fees Application in respect of which fee payable 1 Application under section 395 of the Act for a market services licence to cover*— • acting as a manager of a registered scheme acting as a provider of a discretionary investment management service acting as an independent trustee of a restricted scheme acting as a derivatives issuer in respect of a regulated offer of derivatives that is made by the derivatives issuer acting as a provider of a crowd funding service acting as a provider of a peer-to-peer lending service acting as a provider of a financial advice service within category 1† acting as a provider of a financial advice service within category 2‡ acting as a provider of a financial advice service in any other circumstances Fee (exclusive of any costs payable under Part 3)** $3,565 plus fee charged on the hourly basis specified in Part 2 for hours exceeding 25 $2,139 plus fee charged on the hourly basis specified in Part 2 for hours exceeding 15 $2,139 plus fee charged on the hourly basis specified in Part 2 for hours exceeding 15 $10,695 plus fee charged on the hourly basis specified in Part 2 for hours exceeding 70 $6,238.75 plus fee charged on the hourly basis specified in Part 2 for hours exceeding 40 $6,238.75 plus fee charged on the hourly basis specified in Part 2 for hours exceeding 40 $703.80 plus— • fee charged on the hourly basis specified in Part 2 for hours exceeding 2; and • fee of $178.25 for each entity that is proposed in the application to be an authorised body under
 section 400 of the Act $882.05 plus— • • fee charged on the hourly basis specified in Part 2 for hours exceeding 3; and fee of $178.25 for each entity that is proposed in the application to be an authorised body under section 400 of the Act $1,060.30 plus— • fee charged on the hourly basis specified in Part 2 for hours exceeding 4; and • • • • • • • • 6 Version as at 25 July 2023 Financial Markets Conduct (Fees) Regulations 2014 Schedule 1 Application in respect of which fee payable • • acting as an
 administrator of a financial benchmark acting as a financial institution (see subpart 6A of Part 6 of the Act) 2 3 4 4A 5 6 7 7A 8 Application under section 404 of the Act to vary 1 or more conditions of a market services licence (except if the application is to vary 1 or more conditions of a market services licence so that the licence covers 1 or more types of market service in addition to the 1 or more types of market service already covered) Application under section 404 of the Act to vary 1 or more conditions of a market services licence so that the licence covers 1 or more types of market service in addition to the 1 or more types of market service that it already covers Application for an exemption under section 556 of the Act Application for a declaration under section 562 of the Act Application under section 315 of the Act for a licence to operate a financial product market Application under section 322 of the Act to vary the conditions of a licence to operate a financial product market Application under section 330 of the Act for approval of a market rule or market rule change Application under section 395(1) of the Act for a transitional licence to be issued under clause 71 of Schedule 4 of the Act Application for entry of a foreign passport fund under regulation 12(1)(a) of the Financial Markets Conduct (Asia Region Funds Passport) Regulations 2019 Fee (exclusive of any costs payable under Part 3)** • fee of $178.25 for each entity that is proposed in
 the application to be an authorised body under section 400 of the Act $115 plus fee charged on the hourly basis specified in Part 2 $1,024.93 plus— • • fee charged on the hourly basis specified in Part 2 for hours exceeding 6.75; and fee of $614.95 for each entity that is proposed in the application to be an authorised body under section 400 of the Act $115 plus fee charged on the hourly basis specified in Part 2 In respect of each additional type of market service, the same fee (including the fee charged
 on an hourly basis) as is payable under this Part for an application under section 395 of the Act for a market services licence to cover that type of market service $115 plus fee charged on the hourly basis specified in Part 2 $115 plus fee charged on the hourly basis specified in Part 2 On the hourly basis specified in Part 2 On the hourly basis specified in Part 2 On the hourly basis specified in Part 2 $465.75 plus a fee of $44.56 for each entity that is proposed in the application to be an authorised body under clause 74 of Schedule 4 of the Act On the hourly basis specified in Part 2 *Each fee specified for an application for a licence to cover a type of market service applies regardless of whether the application is for 1 market services licence for each type of market service or 1 or more market services licences that cover more than 1 type of market service.
**The specified number of hours, in each case where this appears, refers to total hours of work carried out by members and employees of the FMA.
†In item 1, a financial advice service is within category 1 if— 7 Schedule 1 Financial Markets Conduct (Fees) Regulations 2014 Version as at 25 July 2023 Application in respect of which fee payable (a) the provider will be an individual (A) and the application contains, or is accompanied by, a statement of A’s intention for the term of the licence to the effect that A will be the only person who will give regulated financial advice under the licence; or Fee (exclusive of any costs payable under Part 3)** (b) the provider will be an entity (B) and the application for the licence contains, or is accompanied by, a statement of B’s intention for the term of the licence to the effect that— (i) (ii) (iii) the only person or persons who will give regulated financial advice under the licence will be any 1 or more of B, 1 financial adviser, and any authorised bodies; and the financial adviser referred to in subparagraph (i) is and will remain either the sole director of B or one of 2 directors of B; and if an authorised body will give regulated financial advice under the licence, the authorised body will engage no other person to give that advice on its behalf (or will engage only the financial adviser referred to in subparagraph (i)).
‡In item 1, a financial advice service is within category 2 if the service is not within category 1 and the application for the licence contains, or is accompanied by, a statement of the applicant’s intention for the term of the licence to the effect that— (a) (b) the licensee and any authorised bodies will be authorised to engage 1 or more financial advisers to provide regulated financial advice under the licence; but no individual will be nominated by the licensee or an authorised body as a nominated representative of the licensee or body under section 431T of the Act.
Schedule 1 Part 1: amended, on 15 March 2021, by regulation 4(2) of the Financial Markets Conduct (Fees) Amendment Regulations 2020 (LI 2020/320).

Schedule 1 Part 1: amended, on 15 March 2021, by regulation 4(3) of the Financial Markets Conduct (Fees) Amendment Regulations 2020 (LI 2020/320).

Schedule 1 Part 1: amended, on 29 June 2020, by regulation 5(3) of the Financial Markets Conduct (Fees) Amendment Regulations (No 2) 2019 (LI 2019/253).
Schedule 1 Part 1 item 1: replaced, on 29 June 2020, by regulation 5(1) of the Financial Markets Conduct (Fees) Amendment Regulations (No 2) 2019 (LI 2019/253).

Schedule 1 Part 1 item 1: amended, on 25 July 2023, by regulation 5 of the Financial Markets Con‐ duct (Fees) Amendment Regulations 2023 (SL 2023/124).

Schedule 1 Part 1 item 1: amended, on 15 March 2021, by regulation 4(1) of the Financial Markets Conduct (Fees) Amendment Regulations 2020 (LI 2020/320).
Schedule 1 Part 1 item 4A: inserted, on 17 December 2015, by regulation 5 of the Financial Markets Conduct (Fees) Amendment Regulations 2015 (LI 2015/279).

Schedule 1 Part 1 item 5: inserted, on 1 December 2014, by regulation 6(2) of the Financial Markets Conduct (Fees) Amendment Regulations (No 2) 2014 (LI 2014/327).

Schedule 1 Part 1 item 6: inserted, on 1 December 2014, by regulation 6(2) of the Financial Markets Conduct (Fees) Amendment Regulations (No 2) 2014 (LI 2014/327).
Schedule 1 Part 1 item 7: inserted, on 1 December 2014, by regulation 6(2) of the Financial Markets Conduct (Fees) Amendment Regulations (No 2) 2014 (LI 2014/327).

Schedule 1 Part 1 item 7A: inserted, on 25 November 2019, by regulation 5(2) of the Financial Mar‐ kets Conduct (Fees) Amendment Regulations (No 2) 2019 (LI 2019/253).

Schedule 1 Part 1 item 8: inserted, on 14 June 2019, by regulation 4 of the Financial Markets Con‐ duct (Fees) Amendment Regulations 2019 (LI 2019/103).
8 Version as at 25 July 2023 Financial Markets Conduct (Fees) Regulations 2014 Schedule 1 Part 2 Fees charged on an hourly basis Schedule 1 Part 2: replaced, on 1 December 2014, by regulation 6(3) of the Financial Markets Con‐ duct (Fees) Amendment Regulations (No 2) 2014 (LI 2014/327).
Category For each hour of work carried out by a member of the FMA For each hour of work carried out by an employee of the FMA who is qualified in accountancy, auditing, business, commerce, economics, or law For each hour of work carried out by an employee of the FMA who the FMA is satisfied has a professional level of skills, training, or experience in financial markets matters of the kind to which the application relates Fee $230.00 $178.25 $178.25 Part 3 Costs incurred by the FMA The FMA is authorised to require payment of costs incurred by the FMA in relation to an application referred to in Part 1 in— (a) (b) obtaining expert advice or assistance: printing and publishing in connection with the application, including in pub‐ lishing notices in the Gazette.
9 Schedule 2 Financial Markets Conduct (Fees) Regulations 2014 Schedule 2 Other fees payable to FMA Version as at 25 July 2023 r 8 Schedule 2: inserted, on 1 December 2014, by regulation 7 of the Financial Markets Conduct (Fees) Amendment Regulations (No 2) 2014 (LI 2014/327).
Part 1 Schedule of fees Section of the Act 109 122(2)(b) Description Request for consent to amend or replace trust deed Request for consent to remove supervisor 126(2)(e)(iii) Request for certificate of compliance 131(1)(c) 134(1)(b) 134(3) 139(1)(a) 140(1)(a) 171(1) 179(3) 181(1) 186(4)(c) 190(2)(a) 193(2)(b) 195(1)(c) 213(1)(b) 213(2) Request for consent to change the conditions of entry or the way in which conditions of entry are applied Request to direct the removal of the registration of a registered scheme as a particular type of scheme Request to direct the registration of a scheme as a particular type of scheme Request for consent to amend or replace governing document Request for consent to amend or replace governing document Request for consent to allow scheme property to revert to contributor who is not a participant Request for permission to transfer scheme participant without participant’s consent Request for consent to transfer scheme participants to another scheme Request to appoint temporary manager Request for consent to withhold information or retain copy of information Request for consent to remove supervisor Request to direct that registration of a registered scheme be cancelled Review of financial statements on winding up Request to extend period for compliance 224(2)(b) Request to authorise non-compliance Request to approve a scheme as a Schedule 3 scheme 596 10 Fees On the hourly basis specified in Part 2 On the hourly basis specified in Part 2 On the hourly basis specified in Part 2 On
 the hourly basis specified in Part 2 On the hourly basis specified in Part 2 On the hourly basis specified in Part 2 On the hourly basis specified in Part 2 On the hourly basis specified in Part 2 On the hourly basis specified in Part 2 On the hourly basis specified in Part 2 On the hourly basis specified in Part 2 On the hourly basis specified in Part 2 On the hourly basis specified in Part 2 On the hourly basis specified in Part 2 $255.55 On the hourly basis
 specified in Part 2 On the hourly basis specified in Part 2 $178.25 Version as at 25 July 2023 Financial Markets Conduct (Fees) Regulations 2014 Schedule 2 Section of the Act Sch 4, cl 26(2) Sch 4, cl 27(3)(a) Sch 4, cl 28(3)(a) Description Request for consent to amend or replace governing document Request for consent to rescind existing and execute new governing document Request for consent to rescind existing and execute new governing document Fees On the hourly basis specified in Part 2 On the hourly basis specified in Part 2 On the hourly basis specified in Part 2 Part 2 Fees charged on an hourly basis Category For each hour of work carried out by a member of the FMA For each hour of work carried out by an employee of the FMA who is qualified in accountancy, auditing, business, commerce, economics, or law For each hour of work carried out by an employee of the FMA who the FMA is satisfied has a professional level of skills, training, or experience in financial markets matters of the kind to which the request relates Fee $230.00 $178.25 $178.25 11 Schedule 3 Financial Markets Conduct (Fees) Regulations 2014 Version as at 25 July 2023 9 r . )
7 2 3 / 4 1 0 2 I L ( 4 1 0 2 ) 2 o N ( s n o i t a l u g e R t n e m d n e m A ) s e e F ( , 4 1 0 2 r e b m e c e D 1 n o , d e t r e s n i : 3 e l u d e h c S n o i t a t e r p r e t n I . )
0 1 2 / 7 1 0 2 I L ( 7 1 0 2 ) 2 o N ( s n o i t a l u g e R t n e m d n e m A ) s e e F ( t c u d n o C s t e k r a M l a i c n a n i F e h t f o ) 1 ( 4 n o i t a l u g e r y b , 7 1 0 2 r e b m e t p e S 8 n o , d e t r e s n i : g n i d a e H 3 e l u d e h c S s e e f y r t s i g e R 12 : s n o i t a l u g e R C M F e h t f o ) 1 ( ; ) a ( ) b ( — , e l u d e h c s s i h t n I n o i t a t e r p r e t n I 1 . )
0 1 2 / 7 1 0 2 I L ( 7 1 0 2 ) 2 o N ( s n o i t a l u g e R t n e m d n e m A ) s e e F ( t c u d n o C s t e k r a M l a i c n a n i F e h t f o ) 1 ( 4 n o i t a l u g e r y b , 7 1 0 2 r e b m e t p e S 8 n o , d e t r e s n i : 1 e s u a l C : s u t a t s s r o t s e v n i w e n o t d e s o l c : n o i t p o t n e m t s e v n i e l c y c e f i l : d n u f : e g a t s e l c y c e f i l : d n u f d e g a n a m : n o i t p o t n e m t s e v n i d n u f - i t l u m ) i ( ) i i ( ) i i i ( ) v i ( ) v ( ) i v ( : s u t a t s s n o i t a c i l p p a r o f n e p o ) i i v ( .
d n u f d e i f i c e p s ) x i ( : s u t a t s n e p o ) i i i v ( Version as at 25 July 2023 Financial Markets Conduct (Fees) Regulations 2014 Schedule 3 : - i t l u m a . )
c ( : : ) a ( ) b ( ) c ( ) d ( : , n o i t p o t n e m t s e v n i d n u f - i t l u m , d n u f d e i f i c e p s , S D P a . )
a ( ) a ( ) b ( . )
0 1 2 / 7 1 0 2 I L ( 7 1 0 2 ) 2 o N ( s n o i t a l u g e R t n e m d n e m A ) s e e F ( t c u d n o C s t e k r a M l a i c n a n i F e h t f o ) 1 ( 4 n o i t a l u g e r y b , 7 1 0 2 r e b m e t p e S 8 n o , d e t r e s n i : 2 e s u a l C : ) 2 ( : ) 1 ( 2 s e e F . )
0 1 2 / 7 1 0 2 I L ( 7 1 0 2 ) 2 o N ( s n o i t a l u g e R t n e m d n e m A ) s e e F ( t c u d n o C s t e k r a M l a i c n a n i F e h t f o ) 1 ( 4 n o i t a l u g e r y b , 7 1 0 2 r e b m e t p e S 8 n o , d e t r e s n i : g n i d a e H e l c y c e f i l r o , n o i t p o t n e m t s e v n i d n u f - i t l u m , d n u f r e p 0 0 6 $ , 2 $ e l c y c e f i l r o , - i t l u m , d n u f r e p 0 0 6 $ t n e m u c o d e r u s o l c s i d 8 e l u d e h c S ) 3 ( 6 2 l c , ) b ( ) 1 ( ( t c u d o r p ) ) b ( ) 1 ( ) S D P ( , 2 $ 8 e l u d e h c S ) 3 ( 6 2 l c , ) d n u f d e g a n a m a n i t c u d o r
a y a P ) ( t c u d o r p l a i c n a n i f a r o f t n e m u c o d 13 Schedule 3 Financial Markets Conduct (Fees) Regulations 2014 Version as at 25 July 2023 e h t y b d e r e v o c S D P r e p 0 0 7 , 2 $ , n o i t p o t n e m t s e v n i d n u f - i t l u m , d n u f r e p 0 0 6 $ e h t y b d e r e v o c e g a t s e c i t o n n o i
14 e c i t o n n o i t a m r i f n o c 5 7 2 $ 5 7 7 $ 5 7 7 $ 5 2 .
1 0 2 $ ( s t c u d o r p l a i c n a n i f r o f ) , 4 e l u d e h c S ) b ( ) 1 ( ’ r o t i d u a n a d n a ) s t n e m e t a t s l a i c n a n i f p u o r g r o ( . )
0 1 2 / 7 1 0 2 I L ( 7 1 0 2 ) 2 o N ( s n o i t a l u g e R t n e m d n e m A ) s e e F ( t c u d n o C s t e k r a M l a i c n a n i F e h t f o ) 2 ( 4 n o i t a l u g e r y b , 7 1 0 2 r e b m e t p e S 8 n o , d e d n e m a : e l b a t 3 e l u d e h c S . )
9 3 1 / 7 1 0 2 I L ( 7 1 0 2 s n o i t a l u g e R t n e m d n e m A ) s e e F ( , 7 1 0 2 y l u J 1 n o , d e c a l p e r : e l b a t 3 e l u d e h c S Version as at 25 July 2023 Financial Markets Conduct (Fees) Regulations 2014 Schedule 3 Michael Webster, Clerk of the Executive Council.

Issued under the authority of the Legislation Act 2019.

Date of notification in Gazette: 27 March 2014.


15 Notes Financial Markets Conduct (Fees) Regulations 2014 Version as at 25 July 2023 Notes 1 General This is a consolidation of the Financial Markets Conduct (Fees) Regulations 2014 that incorporates the amendments made to the legislation so that it shows the law as at its stated date.

2 Legal status A consolidation is taken to correctly state, as at its stated date, the law enacted or made by the legislation consolidated and by the amendments.
This presump‐ tion applies unless the contrary is shown.

Section 78 of the Legislation Act 2019 provides that this consolidation, pub‐ lished as an electronic version, is an official version.

A printed version of legis‐ lation that is produced directly from this official electronic version is also an official version.
3 Editorial and format changes The Parliamentary Counsel Office makes editorial and format changes to con‐ solidations using the powers under subpart 2 of Part 3 of the Legislation Act 2019.

See also PCO editorial conventions for consolidations.
4 Amendments incorporated in this consolidation Financial Markets Conduct (Fees) Amendment Regulations 2023 (SL 2023/124) Legislation Act (Sub-delegated Secondary Legislation) Regulations 2021 (LI 2021/248): regulation 91 Financial Markets Conduct (Fees) Amendment Regulations 2020 (LI 2020/320) Financial Markets Conduct (Fees) Amendment Regulations (No 2) 2019 (LI 2019/253) Financial Markets Conduct (Fees) Amendment Regulations 2019 (LI 2019/103) Financial Markets Conduct (Fees) Amendment Regulations (No 2) 2017 (LI 2017/210) Financial Markets Conduct (Fees) Amendment Regulations 2017 (LI 2017/139) Financial Markets Conduct (Fees) Amendment Regulations 2015 (LI 2015/279) Financial Markets Conduct (Fees) Amendment Regulations (No 2) 2014 (LI 2014/327) Wellington, New Zealand: Published under the authority of the New Zealand Government—2023 16