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 derivatives issuer services.
The FMC Act requires you to meet particular requirements for how you present your offer and what your on-going obligations are.
Putting investor interests first is at the heart of raising the standards of how financial advice is conducted.
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.
Under the FMC Act 2013 there are financial reporting obligations for FMC reporting entities.
Find out more about exemptions you can apply for under the FMC Act.
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.
12 December 2017
Media advisory MR No. 2017 – 56 12 December 2017The Financial Markets Authority (FMA) has today published the accredited body reports for the New Zealand Institute of Chartered Accountants (NZICA) and CPA Australia.The reports contain the findings of our monitoring assessments for the period 1 July 2016 to 30 June 2017. The Auditor Regulation Act 2011 requires us to monitor and ensure the audit regulatory systems and processes used by accredited bodies...
5 May 2017
Media release MR No. 2017 – 158 May 2017 The FMA is working with ANZ to see if behavioural insights can prompt more ANZ KiwiSaver members to get retirement advice, or use retirement-planning tools when they hit 56 years old. The aim of this behavioural insights pilot is to examine if adjusting communications sent to ANZ KiwiSaver members aged 56, and users of their ‘lifetimes’ investment approach, results in more members checking they are on track...
20 February 2017
Media release MR No. 2017 – 05 20 February 2017 The Conduct Outcomes Report 2016 highlights the key issues and actions from the FMA’s enforcement, supervision and preventative activities for the financial year July 2015 to June 2016. Previously published as the Investigations and Enforcement Report, this report shows how the FMA has made use of the broad range of conduct regulation powers available under the Financial Markets Conduct Act 2013. Key ac...
12 March 2018
We are seeking feedback from licensed crowdfunding and peer-to-peer lending service providers on the information they will have to supply in their annual regulatory returns.