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  1. 13 November 2023

    Make a complaint

    We investigate a range of complaints about the conduct of individuals and businesses that operate in our financial markets. This page talks about when you should complain to us and who better to contact for complaints that fall outside of our remit. You will also find out how to make a complaint and the information we need in order to process a complaint.

  2. 13 November 2023

    Make a protected disclosure (whistleblowing)

    If you believe there has been serious wrongdoing in relation to the financial markets by the organisation you work for, you can make a protected disclosure (whistle blowing).

  6. 18 October 2023

    Exemption Notice - Financial Markets Conduct (Product Disclosure Statements in Te Reo Māori and English) Exemption Notice 2023

    The Financial Markets Conduct (Product Disclosure Statements in Te Reo Māori and English) Exemption Notice 2023 provides an exemption for issuers of financial products who wish to provide their PDS in both te reo Māori and English, providing relief from the requirements in the FMC Regulations relating to the prescribed length limits and, if necessary, some prescribed statements and formatting.

  9. 4 October 2023

    Guidance for keeping proper climate related disclosure records

    This guidance note is for entities that have climate-related disclosure obligations under Part 7A of the Financial Markets Conduct Act 2013. It is intended to help climate reporting entities (CREs) meet their statutory requirement to keep proper climate-related disclosure records at all times.

  10. 3 October 2023

    Compliance approach

    FMA takes a risk-based approach to our monitoring and surveillance activities, meaning we prioritise resources to those participants or practices that present the greatest risk to fair, efficient and transparent financial markets.

  11. 30 September 2023

    Consultation paper proposed guidance on scheme wind ups

    FMA is considering guidance for Supervisors and (where there is no Supervisor) Managers of registered schemes on the requirements in section 212 (Initial steps in winding up of registered scheme) and section 213 (Winding-up report) of the Financial Markets Conduct Act 2013 (FMC Act).