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Page last updated: 20 June 2023

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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

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

Reports and papers
08 Dec 2023
Accredited Body Report - CPA Australia
CPA Australia Accredited Body Report contains the findings of our monitoring assessment of CPA Australia. Read more.
Reports and papers
08 Dec 2023
Accredited Body Report – New Zealand Institute of Chartered Accountants
NZICA Accredited Body Report contains the findings of our monitoring assessment of the New Zealand Institute of Chartered Accountants (NZICA). Read mo ...
Reports and papers
24 Nov 2023
Audit Quality Monitoring Report
The Audit Quality Monitoring Report 2023 emphasises that high-quality audits are vital to ensuring investors can make active choices based on clear, c ...
Consultations
15 Nov 2023
Consultation: Proposed fair outcomes for consumers and markets
Have your say on the proposed fair outcomes and approach that will form the basis of how the FMA engages with financial service providers. Submissions ...
Guidance
31 Oct 2023
Climate-related Disclosures – Scenario analysis information sheet
This information sheet details compliance expectations of the FMA for scenario analysis disclosures made under the climate-related disclosures (CRD) r ...
Reports and papers
30 Oct 2023
Key findings from the 2022 re-licensing of Supervisors
Report on findings and areas for improvement identified by the FMA’s 2022 relicensing of Supervisors.
Consultations
19 Oct 2023
Consultation: Renewal of class exemption for dual language (English and te reo Māori) product disclosure statements
This exemption provides relief to issuers of financial products from the prescribed length limits and, if necessary, some prescribed statements and fo ...
Reports and papers
05 Oct 2023
Lessons learned from the Barry Kloogh Ponzi scheme
Report on the FMA’s enquiries into regulatory settings and practices of financial services used by Barry Kloogh to commit fraud

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, consultations, ethical finance and how the FMA works with the FinTech community towards innovation.

Licensed & Reporting Entities

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