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  3. 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.

  4. 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).

  5. 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.

  6. 8 April 2024

    Online Services

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

  7. 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.

  8. 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.

  11. 19 March 2024

    Licensing application guide - DIMS Provider PART B4

    Your guide to applying for a DIMS market service licence under the Financial Markets Conduct Act. All the questions you’ll be asked, the minimum standards you’ll need to show you meet, and information about the details and supporting documents you’ll need to provide. Please make sure you read this guide in conjunction with our ‘Part A’ licensing guide.

  12. 19 March 2024

    Licensing application guide - Crowd funding PART B1

    Your guide to applying for a market service licence under the Financial Markets Conduct Act. All the questions you’ll be asked, the minimum standards you’ll need to show you meet, and information about the details and supporting documents you’ll need to provide

  13. 19 March 2024

    Licensing application guide - Managed Investment Schemes (MIS) PART B3

    Your guide to applying for a Managed Investment Scheme (MIS) licence under the Financial Markets Conduct Act. All the questions you’ll be asked, the minimum standards you’ll need to show you meet, and information about the details and supporting documents you’ll need to provide. Please make sure you read this guide in conjunction with our ‘Part A’ licensing guide.

  14. 19 March 2024

    Licensing application guide - Peer to peer licensing guide PART B2

    Your guide to applying for a Peer to Peer licence under the Financial Markets Conduct Act. All the questions you’ll be asked, the minimum standards you’ll need to show you meet, and information about the details and supporting documents you’ll need to provide. Please make sure you read this guide in conjunction with our ‘Part A’ licensing guide.

  15. 19 March 2024

    Licensing application guide - Independent trustee PART B6

    Your guide to applying for a Independent Trustees licence under the Financial Markets Conduct Act. All the questions you’ll be asked, the minimum standards you’ll need to show you meet, and information about the details and supporting documents you’ll need to provide. Please make sure you read this guide in conjunction with our ‘Part A’ licensing guide.