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Page last updated: 30 November 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

Guidance
14 Feb 2023
Guidance and expectations for keeping proper accounting records
Guidance and expectations to help FMC reporting entities to meet their statutory requirement to keep proper accounting records at all times.
Guidance
03 Feb 2023
Reasonable grounds for financial advice about financial products
Guidance on the FMA’s approach to applying and enforcing Code Standard 3 of the Code of Professional Conduct for Financial Advice Services, in relat ...
Reports and papers
19 Jan 2023
Managed Investment Scheme – Sector Risk Assessment
This sector risk assessment (SRA) identifies some areas in the Managed Investment Schemes (MIS) sector the FMA considers to be higher risk.
Reports and papers
15 Dec 2022
ASX 24 review report
The FMA is required to report at least once every two years on how well Australian Securities Exchange Limited (ASX 24) is meeting its licensed market ...
Reports and papers
15 Dec 2022
SGX-DT review report
Findings from the FMA’s reviews of how well Singapore Exchange Derivatives Trading Limited (SGX-DT) is meeting its market operator obligations under ...
Reports and papers
02 Dec 2022
Accredited Body Report - CPA Australia
CPA Australia Accredited Body Report contains the findings of our monitoring assessment of CPA Australia. Read more.

Related pages

Services

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.

Focus areas

The FMA uses a range of tools to support the functioning of financial markets and services, and compliance with legislation. See more information about AML/CFT, consultation, designations, and offer information.

Licensed & Reporting Entities

View a list of businesses/people that have been granted a licence or have been authorised by the FMA.