1. Compliance
  2. Derivatives issuers
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Derivatives issuers

Who needs to comply

Under the FMC Act you must be licensed to make a regulated offer of derivatives. Find out who a derivatives issuer is and if you’ll need a licence.

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Calendar

See upcoming events and key dates.

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Your obligations

Find out what your obligations as a licensee are.

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Licensing

Find out how to apply for a licence.

Visit 'licensing and registration' section

DIMS - all you need to know

To be authorised to provide a personalised DIMS service you must first meet the prescribed eligibility criteria. 

Visit 'DIMS' section

Licensed derivatives issuers

See the current list of businesses who hold a licence to provide derivatives issuer services.

Visit 'lists and registers' section

Offer information

The FMC Act requires you to meet particular requirements for how you present your offer and what your on-going obligations are.

Visit 'offer information' section

Financial advice

Putting investor interests first is at the heart of raising the standards of how financial advice is conducted.

Visit 'Financial advice' section

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.

Visit 'fair dealing' section

Financial reporting

Under the FMC Act 2013 there are financial reporting obligations for FMC reporting entities.

Visit 'financial reporting' section

Exemptions

Find out more about exemptions you can apply for under the FMC Act.

Visit 'exemptions' section

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.

Visit 'AML/CFT' section
 

Latest News

Accredited Body Reports published

12 December 2017

Media advisory MR No. 2017 – 56 12 December 2017The Financial Markets Authority (FMA) has today published the accredited body reports for the New Zealand Institute of Chartered Accountants (NZICA) and CPA Australia.The reports contain the findings of our monitoring assessments for the period 1 July 2016 to 30 June 2017. The Auditor Regulation Act 2011 requires us to monitor and ensure the audit regulatory systems and processes used by accredited bodies...

KiwiSaver trial to target decision-making a decade out from ...

5 May 2017

Media release MR No. 2017 – 158 May 2017 The FMA is working with ANZ to see if behavioural insights can prompt more ANZ KiwiSaver members to get retirement advice, or use retirement-planning tools when they hit 56 years old. The aim of this behavioural insights pilot is to examine if adjusting communications sent to ANZ KiwiSaver members aged 56, and users of their ‘lifetimes’ investment approach, results in more members checking they are on track...

The Financial Markets Authority publishes its first Conduct ...

20 February 2017

Media release MR No. 2017 – 05 20 February 2017 The Conduct Outcomes Report 2016 highlights the key issues and actions from the FMA’s enforcement, supervision and preventative activities for the financial year July 2015 to June 2016. Previously published as the Investigations and Enforcement Report, this report shows how the FMA has made use of the broad range of conduct regulation powers available under the Financial Markets Conduct Act 2013. Key ac...

 

Latest Consultations

Consultation paper: Including an annual declaration of compl...

16 April 2018

We are seeking feedback from licensed derivative issuers (DI), managers of managed investment schemes (MIS) and discretionary investment management service (DIMS) providers on the information they will have to supply in their annual regulatory returns.