1. Compliance
  2. Supervisors
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Supervisors

The Financial Markets Supervisors Act 2011 requires supervisors to be 'Licensed supervisors'. The Act gives us the power to oversee these supervisors' performance.

Who needs to comply

This section defines the types of supervisors covered by the Supervisors Act.

Calendar

See upcoming events and key dates.

Your obligations

See the obligations that apply to licensed supervisors.

Licensing

How to apply for a new license or variation.

DIMS - all you need to know

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

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

Financial reporting

The FMC Act 2013 has financial reporting obligations for 'FMC reporting entities'. On these pages you can find out who needs to comply and what you need to do.

Governance

Part 4 of the FMC Act resets the accountability framework for managed investment schemes and debt securities. It imposes statutory duties of care on licensed supervisors and on managers of managed investments schemes. 

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.

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

Consultation complete on FMA’s conduct guide: final document...

13 December 2016

Media releaseMR No.2016 – 3813 December 2016 Earlier this year the FMA consulted on a guide on good conduct, signalling to New Zealand financial services providers what to expect from interaction and engagement with the conduct regulator. With a broad range of industry submitting, the process has given the FMA valuable insight into how New Zealand financial services providers view the topic of conduct regulation in general; and the intent and content o...

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: Requirement for managers of multiple par...

16 January 2017

First published 16 January 2017   Final date for submissions   5pm Friday 17 March 2017   Consultation document Requirement for managers of multiple participant schemes to register participation agreements Submission form Feedback form E-mail for submission consultation@fma.govt.nz (please use the title of the consultation paper for the subject line) We are seeking views on a proposal for a possible class exemption from the Fin...