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Before completing a form, you will need your RealMe account login details. To complete any of the forms, you will be asked for your Financial Service Provider (FSP) number. Make sure that you are registered on the Financial Service Providers Register (FSPR) ahead of applying for a licence.
The following licence application forms are available online:
Financial institution licence
Financial Advice Provider Licence (FAP)
The forms are easy to navigate. There are guidance notes and help text on how to complete a set of questions as you move through the form. Information linked to your FSP number will be automatically filled in.
Discretionary Investment Management Service (DIMS)
Derivatives Issuer (DI)
Financial Product Market Operator (FPMO)
Managed Investment Scheme (MIS)
Crowd Funding
Peer to Peer
Independent Trustee
Overseas Auditor
Supervisor
You can also amend an existing FAP licence online to:
Add/Remove Director or Senior manager
Add or remove Authorised Body
Change of Licence Class
Regulatory returns
Regulatory returns are pivotal in helping us target our risk-based monitoring and are required as per the Financial Markets Conduct Regulations 2014. If a regulatory return is a condition on your licence, we will notify you directly when it is time to complete and submit the return.
The following regulatory return forms will become available on-line to complete within the submission window time frame:
AML/CFT Report
Managed Investment Scheme (MIS)
Crowd Funding
Peer to Peer
DIMS regulatory return
Derivative Issuer (DI)
Scheme returns:
KiwiSaver Annual Statistical Return (available online from 3 April 2023)
How will I know when I need to complete an online form?
The FMA will advise you when you are required to complete an annual return. Usually these are at the end of March. AML returns are usually required to be completed by the 31 August.
Are all licensing types and returns done online?
The FMA are migrating all regulatory forms from the current manual format into the Online Services system. In the meantime, you will be notified if the Online Service is not available for the regulatory return you are required to submit and another format will be provided.
Video tutorial: FMA's online services - what to expect
The Online Services video tutorial explains how to log in to Online Services and the various options available, including where to find forms in progress, submitted forms and invoices.
Video tutorial: Navigating a licence application
The Navigating a licence application video tutorial shows you an overview of the process, from starting the application in FMA's Online Services through to submission to FMA, using a Financial Institution licence as an example.