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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

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.
Reports and papers
14 Dec 2023
SGX-DT review report
Findings from the FMA’s reviews of how well Singapore Exchange Derivatives Trading Limited (SGX-DT) is meeting its market operator obligations under ...
Reports and papers
08 Dec 2023
Accredited Body Report - CPA Australia
CPA Australia Accredited Body Report contains the findings of our monitoring assessment of CPA Australia. Read more.
Reports and papers
08 Dec 2023
Accredited Body Report – New Zealand Institute of Chartered Accountants
NZICA Accredited Body Report contains the findings of our monitoring assessment of the New Zealand Institute of Chartered Accountants (NZICA). Read mo ...
Reports and papers
24 Nov 2023
Audit Quality Monitoring Report
The Audit Quality Monitoring Report 2023 emphasises that high-quality audits are vital to ensuring investors can make active choices based on clear, c ...
Consultations
15 Nov 2023
Consultation: Proposed fair outcomes for consumers and markets
Have your say on the proposed fair outcomes and approach that will form the basis of how the FMA engages with financial service providers. Submissions ...

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.