Page last updated: 31 August 2022

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This section provides an overview of the compliance obligations of key financial market participants. It shows who needs to comply, their main obligations, and includes information on licensing, fees and exemptions. To find out more about your specific obligations, choose your role on the main menu.

Compliance by role - Compliance with the FMA
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FMA's compliance approach

We take a risk-based approach to our monitoring and surveillance activities, meaning we prioritise resources to those participants or practices that present the greatest risk to fair, efficient and transparent financial markets.

View our approach

Latest guidance, reports and papers

Audit Quality Monitoring Report
This year’s report emphasises that high-quality audits are vital to ensuring investors can make active choices based on clear, concise, and effectiv ...
KiwiSaver Tracker
The Kiwisaver Tracker shows the relationship between KiwiSaver funds and fees and returns for at least one year.
Monitoring of licensed Financial Advice Providers (FAPs)
The Monitoring of licensed Financial Advice Providers information sheet explains how we carry out monitoring activities, what we expect of you, and ...
AML/CFT enhanced customer due diligence guideline
The AML/CFT enhanced customer due diligence guideline assists you to conduct enhanced customer due diligence (EDD) on your customers under the Anti-Mo ...
Thematic review of use of the wholesale investor exclusion
Thematic review of wholesale offers of financial products, along with guidance for offerors and those who provide confirmation for eligible investor c ...
Climate risks and the impact on financial statement audits
This document provides clarity for auditors about the expectations for information about climate risks in audit files.