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Example: "How do I apply for a financial institution licence?", "FMA Annual Report 2024"
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Example: "How do I apply for a financial institution licence?", "FMA Annual Report 2024"
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FMA takes a risk-based approach to our monitoring and surveillance activities, meaning we prioritise resources to those participants or practices that present the greatest risk to fair, efficient and transparent financial markets.
Explore the FMA’s document library for compliance tools, consultation papers, and governance resources.
Consultation paper: Exemptions, other legislative notices, and unnecessary compliance costs. We are seeking feedback on the effectiveness of our legislative notices in minimising unnecessary compliance costs.
The Compliance Assurance Programmes information sheet is for entities holding or applying for a licence under the Financial Markets Conduct Act 2013, and anyone involved in the creation, implementation and ongoing operation of a compliance assurance programme.
The information sheet is for entities holding or applying for a licence under the Financial Markets Conduct Act 2013, and anyone involved in the creation, implementation and ongoing operation of a compliance assurance programme.
FMA consultation on minimum standards and new conditions for AFAs offering Personalised DIMS under the Financial Advisers Act 2008.