Under the Financial Markets Conduct Act you must be licensed to make a regulated offer of derivatives.
Find out about licensing, what your obligations are and details about fees and levies.
Under the FMC Act you must be licensed to make a regulated offer of derivatives. Find out who a derivatives issuer is and if you’ll need a licence.
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.
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...
15 February 2017
Media Release MR No. 2017 – 04 15 February 2017 Today the Financial Markets Authority published its updated Strategic Risk Outlook (SRO). This is a foundation FMA document and sets out how the regulator identifies and prioritises the key risks to its overall objective of fair, efficient and transparent markets. In 2014, the FMA established seven strategic priorities to address the main risks and potential harms to financial markets. Those priorities an...
8 February 2017
Media Release MR No. 2017 – 02 8 February 2017 The Financial Markets Authority (FMA) has issued a formal warning to 12 reporting entities under section 80 of the Anti-Money Laundering and Countering Financing of Terrorism Act (the Act). Under section 59(2) of the Act, the FMA required reporting entities to submit their audit of their Anti-Money Laundering and Countering Financing of Terrorism (AML/CFT) risk assessment and AML/CFT programme by 25 Nove...
21 February 2017
First published 21 February 2017 Final date for submissions 5pm Friday 17 March 2017 Consultation document Proposed transitional relief for non-NZX brokers to allow limited use of buffers Submission form Feedback form E-mail for submission email@example.com (please use the title of the consultation paper for the subject line) We are seeking views on a proposal for a class exemption from the Financial Advisers Act 2...