1. Compliance
  2. Licensing and registration
  3. Licensing forms and resources

Licensing forms and resources

 

Auditors

How to apply for a licence – overseas auditors

How to apply for registration – overseas audit firms

Individuals who perform issuer audits must hold a licence and audit firms must be registered. CPA Australia and NZICA are the front line regulators and have the primary responsibility for licencing auditors and the registration of audit firms based in New Zealand.

Authorised financial advisers (AFAs)

Before applying to be authorised by us, AFAs need to first register on the Financial Service Providers Register (FSPR). Find out here on how to make changes, renew or how to cancel your authorisation. Also see information for overseas financial advisers.

Crowdfunding

Find out if you need a licence to offer a crowdfunding service and what your obligations will be.

Derivatives issuers

Find out if you need a licence to be a derivatives issuer and what your obligations will be.

Discretionary investment management services (DIMS)

Find out if you need a licence to provide a DIMS and what your obligations will be.

Independent trustees

Find out if you need a licence to be an independent trustee and what your obligations will be.

Managed investment scheme (MIS) manager

Find out if you need a licence to manage a registered MIS and what your obligations will be.

Peer-to-peer lending

Find out if you need a licence to offer a peer-to-peer lending service and what your obligations will be.

Qualifying financial entities (QFEs)

As part of the QFE application process a prospective QFE should submit an Adviser Business Statement to the FMA.

Supervisors

Securities trustee and statutory supervisor licence applicants must complete a series of application forms as part of the application process. Find out more.

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