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  2. 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.

  3. 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

  4. 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.

  5. 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.

  6. 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.

  9. 28 February 2024

    Auditors

    Auditor regulation and oversight helps to ensure the businesses we regulate (known as FMC reporting entities) have access to competent auditors, and these audits (known as FMC audits) are of a high standard. This page explains who needs to comply with the FMA, licensing and registration requirements, costs, levies and waivers, obligations, along with a number of important guidance documents and reports that are relevant to Auditors in New Zealand.

  12. 26 February 2024

    Declaration form - senior managers DIR11

    A statutory declaration is required by senior managers when applying for a licence to operate from the FMA. This form should be accompanied with your licence application.

  15. 19 February 2024

    Licensing Application Guide - Financial Services PART A

    To apply for a market service licence you need to read both PART A and PART B of our licensing application guide. PART A: (this guide) provides general guidance about the licensing process. This includes information about who needs a licence, how to login to the application portal and how to create a RealMe identity, if you don’t already have one (you’ll need one before you can apply).