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  1. 19 July 2024

    Derivatives issuers

    A derivatives issuer that makes a regulated offer of derivatives must be licensed by the FMA. This page contains information about derivatives, obligations for derivatives issuers, and who needs to comply.

  2. 7 June 2024

    Financial Advice Provider (FAP)

    A financial advice provider (FAP) is an individual or entity (e.g. a company) that provides a "financial advice service". Find out more about licensing, registration, costs and ongoing obligations as well as how to comply with the new Code of Professional Conduct for financial advice services including competence, knowledge and skill requirements as well as requirements for ethical behaviour, conduct and client care.

  3. 23 April 2024

    Managed investment scheme manager

    A Managed Investment Scheme (MIS) pools money from a number of investors who rely on the investment expertise of the MIS manager. These schemes can be structured in different ways and may invest in a wide range of investments. On this page you will find the licensing and registration and compliance obligations of a MIS manager. You will also find a list of KiwiSaver exempt employers.

  4. 23 April 2024

    Supervisors

    Supervisors are appointed to look after investors' interests for some types of financial products and the interests of residents of retirement villages. Supervisors covered by the Financial Markets Supervisors Act 2011 (the FMS Act) are those who supervise debt securities; Registered schemes, including KiwiSaver schemes, specified managed funds and superannuation schemes, and retirement villages.View more about licensing and registration and the obligations of Supervisors in New Zealand on this page.

  5. 11 April 2024

    Financial adviser

    To use the term Financial Adviser from the start of the new financial advice regime, you must be registered on the Financial Service Providers Register (FSPR) and engaged by a licensed financial advice provider (FAP) (or authorised body).　 Find out more about licensing, your ongoing obligations and duties and complying with the new Code of Professional Conduct; liabilities and enforcement and frequently asked questions on this page.

  9. 8 April 2024

    Standard Conditions for DIMS

    DIMS standard conditions, updated April 2024 explains the systems and procedures to maintain relevant records pertaining to your market service and the records you must provide to the FMA to enable us to monitor your on- going capability to effectively perform the DIMS in accordance with the applicable eligibility criteria in the Act.

  10. 8 April 2024

    Standard conditions for MIS

    If the FMA grants you a licence to act as a manager of a non-restricted and registered managed investment scheme (MIS manager licence), the licence will be subject to conditions set out in section 402 of the Financial Markets Conduct Act 2013 (FMC Act).

  11. 8 April 2024

    Online Services

    Online Services is a secure portal hosted by the FMA for submitting licence applications and, regulatory and scheme information.

  12. 8 April 2024

    Crowdfunding service providers

    Crowdfunding is a type of financial market service covered by the FMC Act. Find out more about becoming a crowdfunding service provider including details in licensing, obligations, fair dealing provisions, financial reporting, exemptions, levies and waivers, along with important guidance and reports..

  13. 8 April 2024

    Discretionary Investment Management Service (DIMS)

    To provide discretionary investment management services (DIMS) under the FMC Act you must hold a DIMS market services licence issued under the FMA Act. Find out more about the licensing, fees associated with licensing, compliance obligations and exemptions available to this role in New Zealand.

  14. 8 April 2024

    Peer-to-peer lending service providers

    Peer-to-peer lending is a type of financial market service covered by the FMC Act. Find out more about becoming a peer-to-peer lending service provider, the licensing and registration and compliance obligations along with exemptions available in New Zealand.

  15. 5 April 2024

    Authorised body under a financial advice provider licence

    An authorised body is an entity (eg company or partnership) named on a Financial Advice Provider licence. A licensed FAP must agree to an authorised body operating under its licence. The authorised body must be named on the financial advice provider’s transitional licence application, and the licensed FAP will be required to provide information about the authorised body when it applies for its licence. Individuals cannot be authorised bodies under a FAP licence and individual financial advice provider licence holders cannot engage authorised bodies under their licences. Find out more about registration, costs, ongoing obligations, duties, standard consitions, general reporting conditions, code of professional conduct, competency safe harbour, and liability and enforcement on this page.