We have provided a 2-part licensing application guide to help you fill out your application. You need to read both PART A and PART B.
To begin the application process click here. If you have any questions please call us on 0800 434 567.
This part gives general guidance about the licensing process. This includes how to log in to the application portal (and how to create a RealMe identity, if you don't already have one - you'll need one before you can apply, and to save and re-access your work). Download PART A here
This part gives specific information for the type of licence you're applying for. It outlines the minimum standards for the licence, sets out questions you'll be asked, and gives guidance on what you might need to tell us and the types of documents you'll need to provide. Your application can only be made online and you'll need to upload your supporting documents. Refer to the role specific section below to download PART B. Please note these guides may be updated from time to time, so please check back here for the latest version before you apply.
If we grant you a licence it will contain conditions that support your market services licensee obligations. These will include conditions imposed by the FMC Act and regulations, as well as conditions imposed by the FMA. Find out more about the conditions for each service below.
In your application you'll need to demonstrate that you can meet these minimum standards and conditions - or ask us for a limit or variation in your licence.
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 email@example.com each time a director or senior manager is appointed or ceases to hold office.(Refer Financial Markets Conduct Regulations 2014 S. 191)