24 May 2017

Licensing overview report

This report aims to:

  • Outline how we applied a flexible approach to applications.
  • Explain how the minimum standards and FMC Act eligibility criteria fit together.
  • Show the linkage between our view of good conduct and the minimum standards in our licensing guides.
  • Signal our future focus for monitoring to current licence holders.
  • Clarify the ongoing legal obligations for licence holders.

Download the Licensing overview report 2017, PDF.

Related documents

Licensing guide - FMC Act [pdf - 0 B]
To offer certain financial products and services in New Zealand, you need to be licensed. Being licensed shows your customers you meet the legal eligibility criteria and levels of compliance in the Financial Markets Conduct Act (FMC Act). This guide provides you with an understanding of your obligations under the Act when applying for a licence with the FMA.
Licensing guide - FMC Act [pdf - 0 B]
To offer certain financial products and services in New Zealand, you need to be licensed. Being licensed shows your customers you meet the legal eligibility criteria and levels of compliance in the Financial Markets Conduct Act (FMC Act). This guide provides you with an understanding of your obligations under the Act when applying for a licence with the FMA.