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A filtered search by topic for all guidance, reports or research documents stored on the FMA website.

Found 1628 results. Displaying page 33 of 109

  2. 2 August 2021

    Retail Investor Platforms Research

    The objectives of the research were to understand the type of profile of investors in retail platforms; their risks and behaviours within these platforms and motivations and influences that brought them to where they are. The research was conducted by Colmar Brunton in July 2021
    Tags
    Business, FMA
    Type
    PDF, Research

  10. 26 July 2021

    AML/CFT enforcement action - OIA request

    OIAP response 26 July 2021 on AMLCFT enforcement action - Requesting information of the sum of AML/CFT enforcement action taken by the FMA
    Tags
    Type
    PDF, OIA

  12. 16 July 2021

    Amended Identity Verification Code of Practice 2013

    This code of practice provides a suggested best practice for all reporting entities conducting name and date of birth identity verification on customers (that are natural persons) that have been assessed to be low to medium risk. Identification involves obtaining from the customer a range of information about him or her (“identity information”). Verification involves confirming some of that information against documents, data or information obtained from a reliable and independent source.
    Tags
    AML/CFT, Compliance, Roles, Reporting entities, Business
    Type
    PDF

  13. 16 July 2021

    Birth Certicate Redaction Factsheet

    The Anti-Money Laundering and Countering the Financing of Terrorism (AML/CFT) Supervisors have produced this factsheet to confirm their position is that certain details may be redacted by a customer from their birth certificate if it is used for identity verification purposes when conducting customer due diligence.
    Tags
    AML/CFT, Roles, Business
    Type
    PDF, Fact sheet

  15. 9 July 2021

    AML/CFT - New regulation for nominee directors and nominee general partners

    Reporting entities will be expected to comply with the new regulation as soon as possible from 9 July 2021. However, in recognition that reporting entities will need to amend their processes and procedures (and potentially systems), a transitional compliance period will apply until 29 April 2022.
    Tags
    AML/CFT, Roles, Reporting entities, Business
    Type
    PDF, Guidance