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  1. 21 March 2025

    Financial market infrastructures

    Financial market infrastructures (FMIs) provide channels through which payments, securities, derivatives or other financial transactions are cleared, settled or recorded. Well-functioning and efficient FMIs play a critical role in promoting financial stability and economic growth. Read more about Financial Market Infrastructures (FMI) on this page.

  2. 20 March 2025

    Key terms under the CoFI regime

    The Financial Markets (Conduct of Institutions) Amendment Act 2022 has introduced some key terms to describe the framework for regulating the conduct of financial institutions in New Zealand – also known as the CoFI regime. This page lists some of the key terms and their definitions.

  3. 17 March 2025

    AML/CFT

    The Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (the Act) and its regulations place obligations on New Zealand’s financial institutions to detect and deter money laundering and terrorism financing. Find out more about your AML/CFT obligations on this page.

  4. 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.

  5. 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.

  6. 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.

  7. 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.

  8. 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.

  9. 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.

  10. 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. 

  15. 15 October 2024

    Crowdfunding service providers

    Crowdfunding is a type of financial market service covered by the FMC Act. Find out more about becoming a crowdfunding service provider including details in licensing, obligations, fair dealing provisions, financial reporting, exemptions, levies and waivers, along with important guidance and reports..