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Page last updated: 20 June 2023

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This section provides an overview of the compliance obligations of key financial market participants. It shows who needs to comply, their main obligations, and includes information on licensing, fees and exemptions. To find out more about your specific obligations, choose your role on the main menu.

Compliance by role - Compliance with the FMA

FMA's compliance approach

We take a risk-based approach to our monitoring and surveillance activities, meaning we prioritise resources to those participants or practices that present the greatest risk to fair, efficient and transparent financial markets.

View our approach

Latest

Guidance
29 Apr 2024
AML/CFT beneficial ownership guideline
This guideline and associated fact sheets are to assist reporting entities to conduct customer due diligence of the beneficial owner of their customer ...
Guidance
29 Apr 2024
AML/CFT customer due diligence: companies
The fact sheet should be read in conjunction with the beneficial ownership guideline.
Guidance
29 Apr 2024
AML/CFT customer due diligence: Limited Partnerships 2024 and sole traders and partnerships 2022
Businesses can take many forms and may vary in size and complexity. The AML/CFT customer due diligence: sole traders and partnerships fact sheet focu ...
Guidance
29 Apr 2024
AML/CFT enhanced customer due diligence guideline
The AML/CFT enhanced customer due diligence guideline assists you to conduct enhanced customer due diligence (EDD) on your customers under the Anti-Mo ...
Guidance
23 Apr 2024
Liquidity risk management guide
Effective liquidity risk management is a fundamental capability that Managed Investment Scheme (MIS) managers need to implement, maintain and enhance. ...
Consultations
11 Apr 2024
Consultation: Proposed exemptions for advice on UK law aspects of defined benefit pension transfers
Have your say on proposed exemptions for UK firms giving financial advice to New Zealand clients on UK pension transfers. Submissions close 13 June 20 ...
Consultations
02 Apr 2024
Consultation: Proposed exemption for certain green, social, sustainability and sustainability-linked bonds
The FMA is consulting on a proposed class exemption to provide relief from disclosure requirements for certain green, social, sustainable, and sustain ...
Opinion
28 Mar 2024
Gen AI: Industry engagement essential to understand how Gen AI is achieving positive consumer and market outcomes as well as how risks are being managed by firms
Daniel Trinder, Executive Director Strategy and Design at the FMA talks about regulation of Generative Artificial Intelligence.

Related pages

Services

This section provides an overview of the compliance obligations of key financial market participants. It shows who needs to comply, their main obligations, and includes information on licensing, fees and exemptions. To find out more about your specific obligations, choose your role on the main menu.

Focus areas

The FMA uses a range of tools to support the functioning of financial markets and services, and compliance with legislation. See more information about AML/CFT, consultations, ethical finance and how the FMA works with the FinTech community towards innovation.

Licensed & Reporting Entities

View a list of businesses/people that have been granted a licence or have been authorised by the FMA.