Privacy and transparency statement


The Financial Markets Authority (“our, we or us”) is committed to ensuring your privacy is protected. Any personal information you provide to us will be held by the Financial Markets Authority (FMA) and third party service providers and used only in accordance with the Privacy Act 2020 (the Privacy Act). This statement is provided for your information and does not limit or exclude your rights under the Privacy Act.

This privacy statement extends to any and all documentation and personal information collected about you and your interactions with the FMA. This may include information collected about you from others. 

The website only collects personal information provided by users voluntarily through:

  • the contact us and engagement request pages (the personal information collected is the name, email and relevant data for engagement requests);

We protect our information (including your personal information) with all reasonable technical and process controls. We are currently transitioning storage of our information from on-premises storage to a secure Microsoft Azure cloud platform, and we use Microsoft Office 365 cloud applications.

We may use cookies and other interactive techniques such as web beacons to collect data that is then aggregated.  This data collected identifies how users interact with our website and is only viewable by the website administrators, and partners who help manage the website.

For more information about how the FMA collects, stores and uses information, please see our Transparency Statement.

You can request access to personal information held about you by FMA and you can request to have any information we hold corrected. If you’d like to ask for a copy of your information or to have it corrected, please contact us.

Transparency statement on information gathering

Overarching statement

This transparency statement explains how the FMA collects, uses and shares information gathered about members of the public or other entities in accordance with the Information Gathering Model Standards issued by the State Services Commission (SSC) for information gathering.

We gather information both directly and indirectly to fulfil our statutory powers, functions and duties as a regulator and Crown entity, including for the purposes of:

  • detecting, investigating and prosecuting offences (e.g. breaches of the Financial Markets Conduct Act 2013 (FMC Act), Financial Service Providers Act 2008 and Crimes Act 1961)
  • ensuring regulatory compliance, and preventing, investigating, and responding to non-compliance (e.g. meeting obligations under the FMC Act and compliance with licence conditions set by the FMA) 
  • building intelligence about the market (e.g. collecting regulatory returns from licensees and conducting thematic reviews)
  • taking appropriate steps to respond to and mitigate threats to the physical security of staff, or the security of information or places (e.g. web hacking, physical security breach).

We take care to exercise our information-gathering powers lawfully and appropriately, and meet our obligations under the Financial Markets Authority Act 2011 (FMA Act) and the Financial Markets Legislation, Privacy Act 2020, Search and Surveillance Act 2012, Bill of Rights Act 1990, FMA Code of Conduct, and the SSC Code of Conduct.

This transparency statement applies to information gathering carried out by us, our contractors, and any other third parties engaged by us.

View the full transparency statement that applies to this website on the FMA website.


If you have any questions about the request for guidance application process or have a general enquiry please get in touch.