Help Me Comply

The FMC Act 2013 (Part 4) introduces a new accountability framework for debt securities and managed investment schemes.

Find out about obligations under the Financial Service Providers (Registration and Dispute Resolution) Act.

Securities trustees and statutory supervisors must be licensed by FMA.

Anyone offering securities to the public needs to comply with financial markets legislation.

Independent Trustees must be licensed by FMA under the FMC Act

Find out how to comply with your obligations as a financial adviser.

On these pages you can find information about brokers and custodians, including who they are, who needs to comply and what their obligations are.

The Auditor Regulation Act 2011 establishes a framework for the regulation of auditors of issuers.

All futures dealers must be authorised or approved and comply with the requirements set under the Securities Markets Act 1988.

KiwiSaver is part of a package of government initiatives designed to increase the level of savings by New Zealand households and support New Zealanders in retirement.

A superannuation scheme is a scheme which is not a KiwiSaver scheme but is also established principally to provide retirement benefits.

Different obligations apply to those issuing shares under crowd funding services. Find out the obligations that apply to issuers and service providers.

Different obligations apply to those borrowing money through peer-to-peer lending services. Find out the obligations that apply to borrowers and service providers.

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