Document Library

Found 1690 results. Displaying page 7 of 113

1. 20 June 2024

   Auditor Regulation and Oversight Plan 2024 2027

   This document is for: Registered auditors, Accredited bodies, People who prepare financial statements for FMC reporting entities, Directors of FMC reporting entities

2. 19 June 2024

   CRD What you need to know

   This guide has been produced by the FMA and the External Reporting Board (XRB). It is intended for anyone interested in understanding the basics of the CRD regime.

3. 19 June 2024

   Exemption Notice 2024 - Financial Markets Conduct Lake Edge Resort Limited

   Financial Markets Conduct (Lake Edge Resort Limited) Exemption Notice 2024

4. 14 June 2024

   Fair conduct programmes information for smaller firms

   This information sheet provides information and examples to help smaller Financial Institutions (FIs) establish, implement and maintain their fair conduct programme.

5. 11 June 2024

   DI standard condition consultation feedback form

   Derivative Issuer (DI) standard condition consultation feedback form

6. 11 June 2024

   Standard conditions for DI licences consultation paper

   Standard conditions for DI licences consultation paper

7. 30 May 2024

   Financial Advice Provider Monitoring Insights

   Findings from the FMA’s supervision activities and monitoring of Class 1 and 2 licensed financial advice providers

8. 22 May 2024

   Consultation paper Exemption renewal director interests and NZCDC settlement system

   Have your say on the renewal of exemptions for disclosures of relevant interests by directors and senior managers, and in relation to NZCDC Settlement System activities. Submissions close 21 June 2024.

9. 22 May 2024

   Climate related disclosures monitoring plan 2023-2026

   Climate related disclosures monitoring plan 2023-2026.

10. 22 May 2024

    Feedback form Exemption renewal director interests and NZCDC settlement system

    Feedback form Exemption renewal director interests and NZCDC settlement system

11. 21 May 2024

    AML Reporting entities 2023 OIA response

    Request relating to AML Reporting entities and their obligations.

12. 21 May 2024

    FMA Complaints Policy 2023 OIA response

    Request for the FMA’s Complaints Policy

13. 21 May 2024

    FMAs Climate Response 2023 OIA response

    Request relating Climate Action in the Financial Markets.

14. 17 May 2024

    Supervisory approach new AMLCFT Regs 17 May 2024

    The Department of Internal Affairs, the Financial Markets Authority and the Reserve Bank of New Zealand (‘the Supervisors’) welcome the changes to AML/CFT requirements as a result of the various Amendment Regulations coming into force on 1 June 2024.

15. 13 May 2024

    Guidance note for reporting entities Notifying customer of asset freeze or blocked transaction

    FMA, DIA and RBNZ – along with their partner agencies – MFAT and NZ Police – have provided a Guidance Note for duty holders that are AML/CFT reporting entities. The Guidance Note specifically relates to notifying a customer of an asset freeze or blocked transaction under the Russia Sanctions Act.