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  1. 18 June 2025

    About

    The Financial Markets Authority regulates financial markets in New Zealand’s. Find out more about our purpose, board and leadership team, and how we regulate and enforce the law on this page.

  3. 5 June 2025

    Discretionary Investment Management Service (DIMS)

    To provide discretionary investment management services (DIMS) under the FMC Act you must hold a DIMS market services licence issued under the FMA Act. Find out more about the licensing, fees associated with licensing, compliance obligations and exemptions available to this role in New Zealand.

  4. 5 June 2025

    Financial reporting exemptions

    Learn about financial reporting exemptions under New Zealand’s FMC Act, including overseas GAAP recognition, audit relief, conduit issuer policies, and public accountability designations from the FMA.

  6. 3 June 2025

    Online Services

    Online Services is a secure portal hosted by the FMA for submitting licence applications and, regulatory and scheme information.

  7. 30 May 2025

    AML CFT Guideline Customer Risk Rating

    This guide is for financial institutions that operate as providers of online marketplaces. It explains how to comply with the Anti-Money Laundering and Countering Financing of Terrorism (AML/CFT) Act 2009.

  9. 21 May 2025

    FMC (Helios Energy) Exemption Notice 2025

    The Financial Markets Conduct (Helios Energy) Exemption Notice 2025 (the Notice) exempts Helios Energy Hold LP (Helios) from compliance with the disclosure and governance requirements of Parts 3 and 4 of the Financial Markets Conduct Act 2013 (Act), in respect of offers of limited partnership interests in Helios (including options to acquire those partnership interests) (interests), made under Helios’ staff incentive scheme (scheme) to certain employees, contractors and other eligible persons.

  10. 16 May 2025

    AMLCFT Audit Guideline

    This guidance is to help reporting entities understand the AML/CFT audit (“audit”) requirements in terms of the AntiMoney Laundering and Countering Financing of Terrorism Act 2009 and undertake an effective and credible audit of their risk assessment and AML/CFT programme.

  11. 14 May 2025

    Finance professionals

    The business pages provide financial market participants with guidance and information to fulfil ongoing licence and regulatory obligations.

  12. 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.

  14. 8 May 2025

    Trustee and Nominee exemptions

    The Trustee Corporations and Nominee Companies which have notified FMA that they have opted in to this exemption are listed here.

  15. 6 May 2025

    DIMS limit breaks under the FMC Act

    This information sheet outlines the obligations of Discretionary Investment Management Services (DIMS) providers under the Financial Markets Conduct Act 2013 (FMC Act) relating to investment authority limits and reporting breaches of those limits.