1. Compliance
  2. Derivatives issuers
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Derivatives issuers

Under the Financial Markets Conduct Act you must be licensed to make a regulated offer of derivatives.
Find out about licensing, what your obligations are and details about fees and levies.

Who needs to comply

Under the Financial Markets Conduct (FMC) Act you must be licensed to make a regulated offer of derivatives. Find out who a derivatives issuer is and if you’ll need a licence.


See upcoming events and key dates.

Your obligations

Find out what your obligations as a licensee are.


Find out how to apply for a licence.

DIMS - all you need to know

To be authorised to provide a personalised DIMS service you must first meet the prescribed eligibility criteria. 

Licensed derivatives issuers

See the current list of businesses who hold a licence to provide derivatives issuer services.

Offer information

The FMC Act requires you to meet particular requirements for how you present your offer and what your on-going obligations are.

Financial advice

Putting investor interests first is at the heart of raising the standards of how financial advice is conducted.

Fair dealing

Read how the FMC Act provides for fair dealing in relation to financial products and services and sets out minimum compliance standards of behaviour for people operating in the financial markets.

Financial reporting

Under the Financial Markets Conduct Act 2013 there are financial reporting obligations for FMC reporting entities.


Find out more about exemptions you can apply for under the FMC Act.

AML/CFT and you

The Anti-Money Laundering and Countering Financing of Terrorism Act (AML/CFT Act) 2009 and its Regulations place obligations on New Zealand’s financial institutions to detect and deter money laundering and terrorism financing. Find out how it affects you.


Latest News

Fraud and its far reaching effects hit the big screen

20 September 2016

The inaugural New Zealand International Fraud Film Festival (Fraud Film Festival) is coming to Auckland’s Q Theatre in November. The festival is timed to coincide with November’s Fraud Awareness Week and will open on Friday, 18 November.


Latest Consultations

Consultation paper: Regulatory returns for prescribed interm...

10 October 2016

We are seeking feedback from licensed crowdfunding and peer-to-peer lending service providers on the information they will have to supply in their annual regulatory returns.