Please read these documents carefully as they contain all the information you need to know so you can complete and submit your application online.
This guide contains information about the licensing process and includes many FAQs you might have. It also explains how to:
This guide contains all the specific questions you’ll be asked and the minimum standards you’ll need to show you meet. It also details the information and supporting documents you’ll need to provide when you submit your application.
In your application you'll need to demonstrate how you can meet the minimum standards and conditions for your licence - or ask us for a limit or variation using the forms below. This is very important because when a licence is granted, they contain conditions that support your licensee obligations. They include conditions imposed by the FMC Act, the regulations, and any conditions imposed by the FMA.
Before you apply there are some things you can do to ensure your application runs as smoothly as possible:
Licensing declarations and certificates
|For related bodies of the applicant|
|For relevant parties to the applicant|
Amendments and changes
For new directors, senior managers and/or key personnel by a licensee or an authorised body
This notification form must be completed and emailed to firstname.lastname@example.org each time a director or senior manager is appointed or ceases to hold office.(Refer Financial Markets Conduct Regulations 2014 S. 191)