1. Compliance
  2. Derivatives issuers
hero blue bg

Who needs to comply

Under the FMC Act you must be licensed to make a regulated offer of derivatives. Find out who a derivatives issuer is and if you’ll need a licence.

Your obligations

Find out what your obligations as a licensee are.


Find out how to apply for a licence.

DIMS - all you need to know

To be authorised to provide a personalised DIMS service you must first meet the prescribed eligibility criteria. 

Licensed derivatives issuers

See the current list of businesses who hold a licence to provide derivatives issuer services.

Offer information

The FMC Act requires you to meet particular requirements for how you present your offer and what your on-going obligations are.

Financial advice

Putting investor interests first is at the heart of raising the standards of how financial advice is conducted.

Fair dealing

Read how the FMC Act provides for fair dealing in relation to financial products and services and sets out minimum compliance standards of behaviour for people operating in the financial markets.

Financial reporting

Under the FMC Act 2013 there are financial reporting obligations for FMC reporting entities.


Find out more about exemptions you can apply for under the FMC Act.

AML/CFT and you

The Anti-Money Laundering and Countering Financing of Terrorism Act (AML/CFT Act) 2009 and its Regulations place obligations on New Zealand’s financial institutions to detect and deter money laundering and terrorism financing. Find out how it affects you.