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  1. 26 February 2025

    Financial Advice Provider licensing

    Find out who needs a Financial Advice Provider (FAP) licence, what to do before you apply for a licence, how to engage financial advisers, variation to licence forms, how to cancel your licence and the costs involved in applying for a FAP licence.

  2. 4 February 2025

    Legislation

    Explore key NZ financial legislation, including the FMC Act and CoFI, with updates, exemptions, and compliance guidance.

  3. 31 January 2025

    Auditors

    Auditor regulation and oversight helps to ensure the businesses we regulate (known as FMC reporting entities) have access to competent auditors, and these audits (known as FMC audits) are of a high standard. This page explains who needs to comply with the FMA, licensing and registration requirements, costs, levies and waivers, obligations, along with a number of important guidance documents and reports that are relevant to Auditors in New Zealand.

  4. 31 January 2025

    Managed investment scheme manager

    A Managed Investment Scheme (MIS) pools money from a number of investors who rely on the investment expertise of the MIS manager. These schemes can be structured in different ways and may invest in a wide range of investments. On this page you will find the licensing and registration and compliance obligations of a MIS manager. You will also find a list of KiwiSaver exempt employers.

  5. 31 January 2025

    Services

    Explore the FMA's comprehensive business services including licensing, supervision, and compliance for financial advisers, FAPs, DIMS providers, MIS managers, and other financial entities. Stay up to date with regulatory obligations, fair conduct programmes, and support tools to meet New Zealand's financial market standards.

  6. 16 December 2024

    Market operators

    A financial product market is a facility where financial products are bought or sold, or where offers or invitations to buy or sell financial products are made. Find the compliance, licensing and registration obligations and NZX notices on this page.

  7. 5 December 2024

    Cyber Security and Operational Systems Resilience

    This information sheet assists market services licensees (excluding benchmark administrators) licensed under Part 6 of the Financial Markets Conduct Act 2013 (FMC Act) to enhance the resilience of their cyber and operational systems. While this information sheet is designed to apply to a broad range of sectors, entities with complex cyber security and operational systems should consider the specific technology requirements and obligations that apply to their sector.

  8. 5 December 2024

    Focus areas

    The FMA uses a range of tools to support the functioning of financial markets and services, and compliance with legislation. This section contains information about conduct regulation, ethical finance, climate related disclosures, innovation in financial markets, AML/CFT and consultations. 

  9. 3 December 2024

    CRD records illustrative examples

    This document provides illustrative examples to help CREs think about how their CRD records could substantiate their climate statements, along with practical and useful information to help CREs understand our expectations. It is split across the four thematic disclosure areas of NZ CS 1. The guidance and illustrative examples focus on disclosures that need the most explanation, including disclosures that bring a higher risk of non-compliance.

  11. 27 November 2024

    Regulatory Impact Statement Exemption for CREs in wind up

    This document is for climate reporting entities in liquidation, receivership or voluntary administration, and schemes or funds in wind-up, their advisers, primary users of climate statements, and other interested parties. It discusses exemption relief from climate reporting duties

  13. 8 November 2024

    Expired exemptions

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