1. Compliance
  2. Licensing and registration
  3. Applying for a financial service provider licence
  4. Peer-to-peer lending

Peer-to-peer lending

Page last updated: 21 Mar 2019

We are in the process of improving our online application services. The service is currently unavailable. We apologise for the inconvenience. Please contact us if you have questions about an existing application, wish to apply for a licence or have questions about the licensing process.

Licensing declarations and certificates
For applicants

SD1.0  Certificate of compliance and authority to apply (applicant or their authorised person)

SD1.1  Declaration by current/proposed director of licence applicant

SD1.2  Declaration by current/proposed senior manager of licence applicant

SD1.3  Curriculum vitae of management team member of licence applicant

SD1.4  Declaration  by Independent trustee (individual) -  a combined certificate and declaration

For related bodies of the applicant

SD2.1  Declaration by executive director of related body to licence applicant

SD2.2  Declaration by senior manager of related body to licence applicant

For relevant parties to the applicant

SD3.1  Declaration by director of relevant party to licence applicant

SD3.2  Declaration by senior manager of relevant party to licence applicant

SD3.3  Declaration by individual relevant party to licence applicant (such as owner)

Amendments and changes

Notification required by FMC Regulations

For changes to directors or senior managers of a licensee and/or key personnel of an authorised body

(Refer Financial Markets Conduct Regulations 2014 r 191)

This notification form must be completed and emailed to compliance@fma.govt.nz.

Notification of change of director or senior manager by licensee and/or key personnel of authorised body

Notification required by licensing standard conditions

To notify us of a change in your key people and managers as required by the licensing standard conditions, please send an email to compliance@fma.govt.nz outlining what the changes are and the qualifications and experience of the new or replacement personnel, e.g. attach their c.v.

Note that this is a standard condition for the following licence types: DIMS, crowd funding, independent trustee (for corporates), MIS and peer- to-peer lending.