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Guidance library

This guidance library contains the FMA’s guidance notes, information sheets, guides and other reference material. 

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Found 27 results. Displaying page 1 of 2

    • AML/CFT

    2 June 2016

    How to complete your annual AML/CFT report: A quick guide to help small financial adviser businesses

    This user guide clarifies the questions in the AML/CFT report template that may be open to interpretation and identifies questions that are unlikely to be relevant to small financial adviser businesses.
    How to complete your annual AML/CFT report: A quick guide to help small financial adviser businesses

    https://fma.govt.nz/compliance/guidance-library/how-to-complete-your-annual-amlcft-report-a-quick-guide-to-help-small-financial-adviser-businesses/

    • AML/CFT
    • Financial advice
    • Supervisors

    2 July 2015

    Class exemptions for managing intermediaries

    A ministerial class exemption has been granted relating to customer due diligence obligations for managing intermediaries, under the Anti-Money Laundering and Countering Financing of Terrorism Act 2009. The exemption comes into force from 3 July, 2015. This information sheet helps reporting entities understand it.
    150702 Information sheet: class exemptions for managing intermediaries

    https://fma.govt.nz/compliance/guidance-library/class-exemptions-for-managing-intermediaries/