Laws We Enforce

FMA's functions include to monitor compliance with, investigate and enforce financial markets conduct legislation.

As part of the process of preparing policy advice on developing legislation, FMA often consults with market participant and publishes consultation documents.

FMA enforces a range of financial markets conduct legislation, and has investigation and enforcement powers under several Acts.

The Financial Markets Authority oversees a number of registers.

A full list of all guidance notes.

Subscribe to RSS