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Document Library

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

Found 1643 results. Displaying page 72 of 110

  1. 27 December 2017

    Identity Verification Code of Practice Explanatory Note

    The Amended Identity Verification Code of Practice 2013 (the code) clarified requirements for electronic identity verification following the implementation of the Electronic Identity Verification Act 2012 and the Identity Information Confirmation Act 2012. It replaced the previous Identity Verification Code of Practice 2011.

  3. 12 December 2017

    Class legislative notice summary 2017

    This is a summary of the Financial Markets Conduct Act and Financial Adviser Act class legislative notices we have granted in effect as at 1 December 2017.

  4. 12 December 2017

    CPA accredited body report 2017

    This report contains the findings of our monitoring assessment of CPA Australia for the period 1 July 2016 to 30 June 2017.

  5. 12 December 2017

    NZICA accredited body report 2017

    This report contains the findings of our monitoring assessment of the New Zealand Institute of Chartered Accountants (NZICA) for the period 1 July 2016 to 30 June 2017.

  6. 1 December 2017

    AML/CFT interpreting ordinary course of business guideline

    This guideline is designed to help clarify the meaning of the phrase “in the ordinary course of business”. The meaning of this phrase is important if your business conducts one (or more) of the activities listed under the definitions of financial institution”, “designated non-financial business or profession”, and “high-value dealer” in the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (AML/CFT Act).

  10. 28 November 2017

    Investor Capability Strategy 2017 2020

    This strategy sets out how we plan to target our efforts around ensuring investors have access to the information they need to make informed investment decisions.

  11. 23 November 2017

    Fullerton Markets Ltd - Warning

    Notification of a formal warning from the FMA to Fullerton Markets Ltd under section 80 of the Anti-money laundering and countering finance of terrorism Act 2009. 23 November 2017.

  14. 14 November 2017

    Consultation FMA Corporate Governance handbook

    This consultation is for the directors, executives and advisers of non-listed and public-sector companies and other entities. We seek feedback about whether our revised handbook helps directors, executives and advisers to think about how to apply corporate governance principles.