Monitoring and Surveillance

See FMA's compliance focus for 2013.

FMA monitors financial service providers are compliant with their obligations under the Financial Service Providers (Registration and Dispute Resolution) Act. This includes:

  • following up when businesses or individuals appear to be offering financial services but are not registered to provide those services
  • following up where financial adviser services are being provided by people who are not appropriately licensed to provide those services Read more
  • following up where financial service providers are engaging in misleading or deceptive conduct. Read more.

FMA also has oversight of some of the other obligations of financial market participants including financial service providers under other legislation, for example, financial advisers and brokers have obligations under the Financial Advisers Act 2008 which FMA monitors and enforces.

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