1. Compliance
  2. Market operators
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Market operators

Who needs to comply

Anyone operating a financial product market must be licensed.

Calendar

See upcoming events and key dates.

Your obligations

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

Licensing and registration

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

Licensed market operators

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

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.

Market operators reports and NZX notices

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

 

Latest News

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...

FMA updates Strategic Risk Outlook and sets course for new e...

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...

FMA warns firms under Anti-Money Laundering and Countering F...

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...

 

Latest Consultations

Consultation paper: A guide to the FMA's view of conduct

2 February 2017

We are seeking feedback on our conduct guide. The guide details how we will examine whether financial service providers are demonstrating good conduct under the Financial Markets Conduct Act (FMC Act).