Supervisors

Supervisors

The Financial Markets Supervisors Act 2011 requires statutory supervisors to be 'Licensed Supervisors'. The Act gives FMA powers to oversee their performance.

Who needs to comply

This section defines the types of trustees and statutory 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 introduces new financial reporting obligations for 'FMC reporting entities'. On these pages you can find out who needs to comply, what's changing, and when.

Governance

Part 4 of the FMC Act resets the accountability framework for managed investment schemes and debt securities from 1 December 2014. 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

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: A guide to the FMA's view of conduct

28 July 2016

We are seeking feedback on our conduct guide. The guide details how we will examine whether financial service providers are demonstrating good conduct under the Financial Markets Conduct Act (FMC Act).