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Document Library

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

Found 1629 results. Displaying page 50 of 109

  1. 9 August 2019

    Guidance on Expired Passports as Identification for Customer Due Diligence

    The AML/CFT supervisors have become aware of the need for clear guidance on the use of expired passports as part of Customer Due Diligence procedures and how it relates to the
    Amended Identity Verification Code of Practice 2013 (‘the code’).
    Tags
    AML/CFT, Roles, Reporting entities, Business
    Type
    PDF, Guidance

  4. 1 August 2019

    Interest rate swap investigation - OIA request

    OIA response, dated 1 August 2019, which looked at the investigation by the FMA in 2012-2013 into banks marketing, promoting and selling interest rate swaps between 2005 and 2009. As well as complaints surrounding interest rate swap and the final settlement number with the banks.
    Tags
    FMA
    Type
    PDF, OIA

  7. 30 July 2019

    Payments to social media influencers - OIA request

    OIA response, dated 30 July 2019, where costs were queried in relation to three public awareness campaigns in which social media influencers received payment for posts.
    Tags
    FMA
    Type
    PDF, OIA

  8. 26 July 2019

    Guidance for foreign passport fund operators

    This guide is for foreign passport fund operators wanting to offer interests in regulated collective investment schemes (CIS) in New Zealand under the Asia Region Funds Passport regime.
    Tags
    Managed funds, FMC Act, Ways to invest, Investing, Legislation, Business, Consumer
    Type
    PDF, Guidance

  11. 23 July 2019

    Annual Corporate Plan 2019

    This Annual Corporate Plan sets out our activities that will promote our strategic priorities, address regulatory risks and harms, and deliver sector outcomes.
    This plan should be read alongside our Strategic Risk Outlook (see below), which provides our medium-term view of the most significant risks to and opportunities for promoting fair, efficient and transparent financial markets.
    Tags
    FMA
    Type
    PDF

  12. 23 July 2019

    Strategic Risk Outlook 2019

    The Strategic Risk Outlook 2019 provides our medium-term
    view (three to five years) of the most significant risks to and
    opportunities for promoting fair, efficient and transparent financial markets.
    Tags
    FMA
    Type
    PDF, Corporate publications, Strategic Risk outlook

  13. 23 July 2019

    Expensive Trials - OIA response

    OIA response, dated 23 July 2019, regarding the FMA’s five most expensive trials, what they involved and a summary of costs
    Tags
    FMA
    Type
    PDF, OIA