Our two licensing guides (PART A and PART B)
PART A
This guide contains information about the licensing process and includes many FAQs you might have and explains how to use our online application form(currently unavailable); create a RealMe® identity, if you don't already have one and pay your licensing fee.
Download the licensing guide Part A: How do I apply for a licence? PDF, 510KB.
PART B
This guide contains all the specific questions you’ll be asked and the minimum standards you’ll need to show you meet. It also details the information and supporting documents you’ll need to provide when you submit your application.
Download Part B: Guide to applying for a derivative issuer licence PDF, 1.2MB.
Standard conditions for derivatives issuer licences
In your application, you'll need to demonstrate how you can meet the minimum standards and conditions for your licence - or ask us for a limit or variation using the forms below. This is very important because when a licence is granted, they contain conditions that support your licensee obligations. They include conditions imposed by the FMC Act, the regulations, and any conditions imposed by the FMA.
Download the Standard Conditions for derivatives PDF, 240KB.
Licensing overview report 2017: what you need to know to meet your licence obligations.
It is helpful to read the Licensing overview report alongside the guide to the FMA’s view of conduct. Together, these documents give a good indication of our areas of future focus, our overall approach to monitoring; and what we expect of licensed providers of financial products and services.
Download the Licensing overview report (2017) PDF, 1.3MB.
Licensing declarations and certificates
