1. Compliance
  2. Market operators
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Market operators

Who needs to comply

Anyone operating a financial product market must be licensed.

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Your obligations

As a market operator you must ensure your licensed markets operate in a fair, orderly and transparent way.

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Licensing and registration

See here for how to get a licence, who issues them and other important information.

Visit 'licensing and registration' section

Licensed market operators

The Minister issues licences to operators of financial product markets. See the current list of businesses who hold a licence.

Visit 'Licensed providers' section

Regulatory reporting

As a market operator you need to provide us with a periodic self-assessment on how well you have complied with your obligations.

Visit 'regulatory reporting' section

Market operators reports and NZX notices

See all market operators periodic reports (including NZX) and notices issued to NZX.

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Latest News

Accredited Body Reports published

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...

KiwiSaver trial to target decision-making a decade out from ...

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...

The Financial Markets Authority publishes its first Conduct ...

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...

 

Latest Consultations

Consultation paper: Updated Corporate Governance Handbook

28 February 2018

First published 14 November 2017 Final date for submissions  5pm, Friday 8 December 2017 Consultation document Consultation paper FMA Corporate Governance handbook Submission form Feedback form E-mail for submission consultation@fma.govt.nz (please use the title of the consultation paper for the subject line) Resulting documents Corporate Governance Handbook 2018 Submissions report Update28 February 2018Our refreshed corporate g...