Supervisors

Securities trustee and statutory supervisor licence applicants must complete 3 forms:

1. Form TRU1.1 is the application form. It contains the core administrative details necessary to start processing an application. The form contains notes and links to online information sources to assist in completing the form. It also contains information about how to pay the application fee.

2. Form TRU2.1 is a supporting information checklist and statutory declaration form that must be submitted with your supporting information. It contains an appendix of cover sheets to help us track the information you provide. It also requires you to list all directors and senior managers who will be submitting DIR1.1 forms.

3. Form DIR1.1 collects the information and statutory declarations by directors and senior managers. A separate DIR1.1 form must be completed for every director and senior manager named in form TRU2.1.

Forms are available to download below. Refer to the licensing guidance note for full details of the information you must submit, and application due dates.

Licensed securities trustees and statutory supervisors can apply for a variation to an existing licence, for example to add a licence class. The procedure for applying for a variation of licence is similar to that followed in applying for the existing licence. Details and guidance on how to apply for a variation of a licence are available here.

Submission instructions

You must submit your forms electronically and in paper form.

Each form must be printed and signed by the relevant parties and sent to us for our records.

The forms should be submitted in one package along with all supporting information. Please take care to include the relevant cover sheet on each section of supporting documentation.

Physical copies of your licence application forms and supporting information should be addressed to:


Supervisor Team
Financial Markets Authority
Level 2, 1 Grey Street
Wellington 6140
New Zealand

Electronic copies of your licence application forms should be emailed to SSTS@fma.govt.nz

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