1. Compliance
  2. Market operators
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Market operators

Who needs to comply

Anyone operating a financial product market must be licensed.

Calendar

See upcoming events and key dates.

Your obligations

As a market operator you must ensure your licensed markets operate in a fair, orderly and transparent way.

Licensing and registration

See here for how to get a licence, who issues them and other important information.

Licensed market operators

The Minister issues licences to operators of financial product markets. See the current list of businesses who hold a licence.

Regulatory reporting

As a market operator you need to provide us with a periodic self-assessment on how well you have complied with your obligations.

NZX notices and reports

See all notices issued to NZX and their annual general obligations review reports.

 

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.

FMA releases conduct guide for feedback

28 July 2016

FMA has released a guide to how it will examine whether financial services providers are demonstrating good conduct under the Financial Markets Conduct Act (FMC Act).

 

Latest Consultations

Consultation paper: KiwiSaver advice

8 November 2016

We are seeking feedback on our KiwiSaver advice guidance note.

This guidance note is for providers advising on KiwiSaver products and will replace our 2012 Guidance Note: Sale and Distribution of KiwiSaver. We are replacing this guidance to recognise feedback that our 2012 approach resulted in some people not getting the help they needed, as firms saw it as risky to provide advice. This revised guidance is intended to change that situation, by encouraging advisers and financial firms to help people make good decisions about KiwiSaver.