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  1. 6 October 2021

    Hearings

    The FMA will provide you with an opportunity for a hearing in person in certain circumstances if you are impacted by a decision of the FMA. If you have the right to a hearing, we will let you know. This page outlines our approach to conducting hearings and explains the process we follow if you are entitled to a hearing and request one.

  2. 12 May 2025

    Financial adviser

    To use the term Financial Adviser from the start of the new financial advice regime, you must be registered on the Financial Service Providers Register (FSPR) and engaged by a licensed financial advice provider (FAP) (or authorised body).　 Find out more about licensing, your ongoing obligations and duties and complying with the new Code of Professional Conduct; liabilities and enforcement and frequently asked questions on this page.

  3. 29 April 2025

    FMA Exemption to complement XRB relief for assurance of Scope 3 GHG emissions reporting in 2025

    The FMA has approved in principle a class exemption for climate reporting entities, who use Adoption Provision 8 in NZ CS 2, from the assurance requirement in section 461ZH of the Financial Markets Conduct Act (FMC Act) to the extent that their climate statements are required to disclose scope 3 GHG emissions for accounting periods ending 31 December 2024 through to 30 November 2025.

  4. 8 November 2024

    Expired exemptions

    Find a full list of expired exemptions that relate to the Financial markets Conduct and Securities Act here.

  5. 7 April 2025

    Research

    The FMA conducts a range of research annually to inform the work that we do. View our research reports on this research page.

  6. 5 April 2024

    Authorised body under a financial advice provider licence

    An authorised body is an entity (eg company or partnership) named on a Financial Advice Provider licence. A licensed FAP must agree to an authorised body operating under its licence. The authorised body must be named on the financial advice provider’s transitional licence application, and the licensed FAP will be required to provide information about the authorised body when it applies for its licence. Individuals cannot be authorised bodies under a FAP licence and individual financial advice provider licence holders cannot engage authorised bodies under their licences. Find out more about registration, costs, ongoing obligations, duties, standard consitions, general reporting conditions, code of professional conduct, competency safe harbour, and liability and enforcement on this page.

  7. 11 August 2023

    Enforcement Activity

    Through our investigation and enforcement activities we aim to raise standards of behaviour, deter misconduct, and hold to account those whose conduct harms the fair, efficient and transparent operation of our financial markets. View our list of enforcement actions and cases on this page.

  8. 19 February 2018

    Conduct Outcomes Report 2017

    The Conduct Outcomes Report outlines how we responded to the areas of misconduct we saw during 2017. It covers our enforcement action, monitoring and supervision work, and our activities to address risks and harms on our regulatory perimeter. It also includes good practice suggestions for licensed financial service providers, and sets out where we will focus our energies in 2018.

  9. 20 February 2017

    Conduct Outcomes Report 2016

    This report highlights the key issues and actions from our enforcement, supervision and preventative activities in the period 1 July 2015 to 30 June 2016.

  10. 4 April 2025

    Fair conduct programme insights report

    Insights from the FMA’s review of fair conduct programmes received from financial institutions ahead of the commencement of the CoFI regime.

  11. 30 November 2022

    Fair Conduct Programmes information sheet

    This information sheet provides information and examples to help entities establish, implement and maintain their fair conduct programmes (FCPs). It will be useful for entities holding or applying for a licence to act as a financial institution under the Financial Markets Conduct Act 2013 (FMC Act), and anyone involved in establishing, implementing and maintaining an FCP.

  12. 24 April 2020

    COVID19 CEO Conduct Letter 1

    A letter to CEOs explaining regulatory relief available during COVID-19 and expectations of the FMA during the period

  13. 1 November 2018

    Bank Conduct and Culture Review

    Findings from the 2018 FMA and RBNZ review of conduct and culture in New Zealand retail banks. The overall objective of this review was to understand whether there are widespread conduct and culture issues present in banks in New Zealand.

  15. 2 February 2017

    FMAs view of conduct guidance

    This guidance note is for: directors and executives of licensed financial services providers. The guide was published in 2017.