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Financial Markets Authority AFA Update: Issue # 27

Get ready to file your first AFA Information Return

On Monday 18 August, all AFAs can start to file their first Information Return. All Information Returns will need to be completed and submitted online no later than 5pm Tuesday 30 September 2014 for the period 1 July 2013 – 30 June 2014 using your RealMe login details.

Please note, we will email you the link to login and complete your Information Return next Monday. You will also be able to access it from our website.

As a reminder, to help get ready we recommend you:

  1. Read the FAQs about the Information Return.
  2. Start reviewing the questions that relate to the financial adviser services you offer that you will need to answer.
  3. Start collecting that information so you can complete and submit your Information Return on time.
  4. Check you have your RealMe login and password and FSP number.

If you have any questions then please check our FAQs first. If your question is not covered there please email your question to questions@fma.govt.nz or call us on 0800 434 567.

 

Time is running out to file your Annual AML/CFT Report

Submissions close in 16 days! All reports must be submitted by midnight Saturday 30 August 2014.

As a reporting entity you are required to prepare and submit an annual report on your risk assessment and AML/CFT programme for the period 1 July 2013 to 30 June 2014.

To complete the annual AML/CFT report for FMA you will need:

  1. To make sure FMA is your supervisor for AML/CFT.
  2. An FSP number (it needs to include FSP and the number at login).
  3. A RealMe login username and password.
  4. Your most recent financial year-end data.
  5. To submit your annual AML/CFT report through our online portal.

See our User Guide and FAQs to help you get started. If you have any questions you can email us at aml@fma.govt.nz