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Page last updated: 20 June 2023

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This section provides an overview of the compliance obligations of key financial market participants. It shows who needs to comply, their main obligations, and includes information on licensing, fees and exemptions. To find out more about your specific obligations, choose your role on the main menu.

Compliance by role - Compliance with the FMA

FMA's compliance approach

We take a risk-based approach to our monitoring and surveillance activities, meaning we prioritise resources to those participants or practices that present the greatest risk to fair, efficient and transparent financial markets.

View our approach

Latest

Reports and papers
25 Jun 2024
NZX Review Report
NZX Review report outlines our annual review of how well NZX is meeting its statutory obligations. View the 2024 report along with previous reports on ...
Reports and papers
20 Jun 2024
Auditor regulation and oversight plan
This plan will help licensed auditors, registered audit firms and accredited bodies to understand how FMA will approach auditor regulation. View the 2 ...
Opinion
19 Jun 2024
Jacco Moison - Understanding and using new climate-related disclosures
What sort of information do you need about a company or a fund before you put money into it? Financial performance, forecasts, plans and strategies fo ...
Guidance
19 Jun 2024
Climate-related Disclosures Regime: What you need to know
An overview of the Climate-related Disclosures Regime and the information contained in climate statements
Consultations
11 Jun 2024
Consultation paper: Standard conditions for derivatives issuer licences
We are considering imposing a new standard condition and varying an existing standard condition for all derivatives issuer (DI) licences. Have your sa ...
Reports and papers
30 May 2024
Financial Advice Provider Monitoring Insights
Findings from the FMA’s supervision activities and monitoring of Class 1 and 2 licensed financial advice providers
Consultations
22 May 2024
Consultation: Class exemption renewal for disclosure of relevant interests by directors and senior managers, and NZCDC Settlement System
Have your say on the renewal of exemptions for disclosures of relevant interests by directors and senior managers, and in relation to NZCDC Settlement ...
Guidance
17 May 2024
New AML/CFT regulations – joint statement by AML/CFT Supervisors on supervisory approach
The Department of Internal Affairs, the Financial Markets Authority and the Reserve Bank of New Zealand (‘the Supervisors’) welcome the changes to ...

Related pages

Services

This section provides an overview of the compliance obligations of key financial market participants. It shows who needs to comply, their main obligations, and includes information on licensing, fees and exemptions. To find out more about your specific obligations, choose your role on the main menu.

Focus areas

The FMA uses a range of tools to support the functioning of financial markets and services, and compliance with legislation. See more information about AML/CFT, consultations, ethical finance and how the FMA works with the FinTech community towards innovation.

Licensed & Reporting Entities

View a list of businesses/people that have been granted a licence or have been authorised by the FMA.