1. Compliance
  2. Licensing and registration

Licensing and registration

 

Who needs a licence?

Many financial market professionals require a licence in order to do business. In 2014, the Financial Markets Conduct (FMC) Act introduced 6 new types of licences for financial market services.

Find out if you need a licence for your market service and what your obligations as a licensee will be.

Licensing forms and resources

We license a range of firms and professionals that meet the requirements in law. Review all our licensing application and support forms here, including all relevant guidance. 

Registration

All financial service providers must comply with the requirements of the Financial Service Providers (Registration and Dispute Resolution) Act 2008. This includes a requirement to be registered on the Financial Service Providers Register.

Find out more on who needs to comply, how to register and your on-going obligations.