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Page last updated: 30 May 2025

Guidance

The guidance library contains FMA guidance notes, information sheets, guides and other useful reference material.

Guidance
30 Sept 2025
Complaints: Ensuring consumers are treated fairly
This information sheet provides information and examples to help financial service providers licensed under the Financial Markets Conduct Act 2013 ens ...
Guidance
29 Sept 2025
AML/CFT customer due diligence: clubs and societies
The AML/CFT customer due diligence: clubs and societies provides guidance for clubs and societies. The type of entity the club or society is will dete ...
Guidance
29 Sept 2025
AML/CFT customer due diligence: co-operatives
A co-operative is a form of business organisation that is owned and controlled by its shareholders or members, and run for their mutual benefit. This ...
Guidance
29 Sept 2025
AML/CFT customer due diligence: Limited Partnerships 2024 and sole traders and partnerships 2025
Businesses can take many forms and may vary in size and complexity. The AML/CFT customer due diligence: sole traders and partnerships fact sheet focu ...
Guidance
29 Sept 2025
AML/CFT designated business group formation and change guideline
This guideline is designed to help reporting entities forming a designated business group (DBG) understand the process for doing so.
Guidance
29 Sept 2025
AML/CFT designated business group: scope guideline
This guideline is designed to assist reporting entities to understand which obligations may be shared by members of a designated business group (DBG). ...
Guidance
30 May 2025
AML/CFT guidance for Financial Institutions on risk ratings for new customers
This guidance is for financial institutions that operate as providers of online marketplaces. It explains how to comply with the Anti-Money Laundering ...
Guidance
06 May 2025
DIMS limit break and related party transaction reporting under the FMC Act
This guide is for Discretionary Investment Management Service (DIMS) licence holders. It explains how to complete online limit break and related-party ...
Guidance
16 Oct 2024
Winding-up requirements for registered schemes
This guidance explains our interpretation of the law, to ensure the requirements of section 212 (Initial steps in winding up of registered scheme) and ...

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