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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.

Tags

AML/CFT, Authorised body under a FAP, Client money or property services provider, Crowdfunding providers, Derivative Issuer, Discretionary investment management scheme (DIMS), Roles, Business, Managed investment schemes, Peer-to-peer lending service providers, Supervisor

Type

PDF
17 May 2024

New AML/CFT regulations – joint statement by AML/CFT Supervisors on supervisory approach

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.

Tags

AML/CFT, Authorised body under a FAP, Client money or property services provider, Crowdfunding providers, Derivative Issuer, Discretionary investment management scheme (DIMS), News, Roles, Business, Managed investment schemes, News & Insights, Peer-to-peer lending service providers

Type

Page, Guidance
16 May 2024

Disputes and consumer protection

The Banking Ombudsman investigates and resolves disputes between customers and their banks.
They also deal with complaints about a range of non-bank financial service providers. The Reserve Bank of New Zealand is the prudential supervisor of banks and insurance companies.

Tags

Consumer

Type

Page
16 May 2024

Investment advice

An investment adviser works with you to: Understand your needs and goals,
find options to suit your situation, explain how each investment works, the risks and possible returns, and what it costs, and more.

Tags

Financial advice, Get advice, Investment advice, Investing, Consumer

Type

Page
16 May 2024

Emerge NZ Limited

Emerge NZ Limited is an AML/CFT reporting entity.

Tags

Type

Page
15 May 2024

Money with Mary

In our series “Money with Mary,” personal finance legend Mary Holm shares practical tips on a variety of money matters.

Tags

Article, Investing, Consumer, News & Insights

Type

Page
13 May 2024

Report a scam

If you suspect you have been targeted by an investment or financial scam, report the scam to the FMA.

Tags

Suspected scam, Scams

Type

Page
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.

Tags

AML/CFT, Roles, Authorised body under a FAP, Client money or property services provider, Crowdfunding providers, Derivative Issuer, Discretionary investment management scheme (DIMS), Business, Managed investment schemes, Peer-to-peer lending service providers

Type

PDF, Guidance
- Suspected scam
13 May 2024

Fake Celebrity Investment Scam – Multiple trading platforms
The FMA has received several reports regarding fake celebrity or fake influencer endorsement advertisements on social media, promoting online investment schemes.
Tags

Suspected scam, Investor warning, Consumer, Scams

Type

Page
13 May 2024

Guidance Note: For duty holders that are AML/CFT reporting entities

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.

Tags

AML/CFT, News, Roles, Authorised body under a FAP, Client money or property services provider, Derivative Issuer, Discretionary investment management scheme (DIMS), Business, Managed investment schemes, News & Insights, Peer-to-peer lending service providers

Type

Page, Guidance
10 May 2024

CapitalGroup DBG

CapitalGroup DBG and the following entities are under DBG and the AML reporting entities list.

Tags

AML/CFT, Roles, Reporting entities, Business, Designated Business Group (DBG)

Type

Page
10 May 2024

AML/CFT customer due diligence: trusts

A trust is an arrangement where a person (the settlor) gives money or property to another person (the trustee), to be held in trust for the benefit of either the trust’s beneficiaries, or a purpose recognised by law. The AML/CFT customer due diligence: trusts fact sheet should be read in conjuction with the beneficial ownership guideline.

Tags

AML/CFT, Roles, Independent trustee, News, Business, News & Insights

Type

Page, Guidance
10 May 2024

AML/CFT Customer Due Diligence – Trusts

This guideline is intended to support reporting entities1
to conduct customer due diligence (CDD) under the Anti-Money Laundering and Countering Financing of Terrorism (AML/CFT) Act 2009 (the Act) on their customers who are trusts.

Tags

AML/CFT, Compliance, Obligations, Roles, Business

Type

PDF, Information Sheet
10 May 2024

Jarden Wealth

Jarden Wealth includes Jarden Wealth Limited
(FSP1006426), Jarden Structured Investment Limited

Tags

Reporting entities, Roles, Business, Designated Business Group (DBG)

Type

Page
9 May 2024

Financial Markets Conduct (Abacus Storage King) Exemption Notice 2024

The Financial Markets Conduct (Abacus Storage King) Exemption Notice 2024 (Notice) exempts Abacus Storage Operations Limited (ASOL) and Abacus Storage Property Trust (the Trust) (together the issuers), and Abacus Storage Funds Management Limited (ASFML) (as responsible entity for the Trust under Australian law) from compliance with the disclosure requirements in Part 3 of the Financial Markets Conduct Act 2013 Act (Act)

Tags

Exemptions, Business

Type

Page