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Financial Markets Conduct Act 2013

Licensing and other regulation of market services - Monitoring and enforcement of licences - Reports

411: Licensee must deliver reports to FMA

You could also call this:

"Licensees must send required reports to the Financial Markets Authority on time"

Illustration for Financial Markets Conduct Act 2013

If you are a licensee, you must send reports to the Financial Markets Authority (FMA) at certain times or when certain events happen. You have to send these reports in a specific way. The reports must include the information that is required.

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View the original legislation for this page at https://legislation.govt.nz/act/public/1986/0120/latest/link.aspx?id=DLM4091596.

Topics:
Money and consumer rights > Banking and loansBusiness > Industry rules
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"What is a big change that affects your licence to provide market services?"

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412: Licensee must report certain matters, or

"People with a licence must tell the authorities if something goes wrong or a big change happens"

Part 6Licensing and other regulation of market services
Monitoring and enforcement of licences: Reports

411Licensee must deliver reports to FMA

  1. Every licensee must, at the prescribed times or on the occurrence of the prescribed events and otherwise in the prescribed manner, send to the FMA reports that contain the prescribed information.