Page last updated: 19 July 2022


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

Ethical Investment Journey Research
This report contains the findings from a qualitative study interviewing a range of New Zealanders about their experience of buying an ethical investme
Integrated financial products: Review of managed fund documentation
Findings from the FMA review of the effectiveness of disclosure information from a sample of managed investment funds labelled or marketed as being in
Approach to oversight of financial statements
In this document we provide a summary of our main work in monitoring compliance with financial reporting obligations by FMC reporting entities and reg
NZX Review Report
NZX Review report outlines our annual review of how well NZX is meeting its statutory obligations.
Cyber security and operational systems resilience
This information sheet assists market services licensees (excluding benchmark administrators) licensed under Part 6 of the Financial Markets Conduct A
Record keeping for financial advice providers
This information sheet sets out our expectations for how licensed financial advice providers (FAPs) can demonstrate compliance with the standard condi