1. Compliance
  2. Supervisors
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Who needs to comply

This section defines the types of supervisors covered by the Supervisors Act.

Your obligations

See the obligations that apply to licensed supervisors.

Licensing

How to apply for a new license or variation.

DIMS - all you need to know

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 supervisor services.

Financial reporting

The FMC Act 2013 has financial reporting obligations for 'FMC reporting entities'. On these pages you can find out who needs to comply and what you need to do.

Governance

Part 4 of the FMC Act resets the accountability framework for managed investment schemes and debt securities. It imposes statutory duties of care on licensed supervisors and on managers of managed investments schemes. 

Fair dealing

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.

AML/CFT and you

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.