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  1. 16 June 2021

    Licensing interposed persons and engaged entity arrangements information sheet

    This information sheet sets out FMA’s approach to licensing financial advice arrangements and provides guidance on circumstances where an engaged entity or interposed person won’t need to be licensed as a FAP.
    Tags
    Roles, Licence guide, Licensing & registration, Business, Interposed persons under new financial advice regime
    Type
    PDF, Information Sheet

  2. 14 March 2023

    Financial advice regime obligations

    If you provide regulated financial advice to clients you will need to fulfil a number of duties. These duties aim to ensure all New Zealanders have access to quality financial advice, and to help build public confidence in advisers – a good thing for everyone.
    Tags
    Compliance, Financial Adviser, New Financial Advice regime, Client money or property services provider, Obligations, Roles, Financial Services Legislation Amendment Act (FSLAA), Financial Advice Provider, Business
    Type
    PDF, Information Sheet

  3. 25 October 2019

    AML/CFT - interpretation of a trust as a customer

    The following is a response made by the AML/CFT supervisors to a query questioning whether a trust can be a customer for the Act’s purposes. This clarification is supplemental to the Trusts Fact Sheet:
    Tags
    AML/CFT, Roles, Business
    Type
    PDF, Fact sheet

  4. 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

  6. 20 April 2023

    Am I a Climate Reporting Entity FAQ

    Entities required by legislation to produce climate statements are known as Climate Reporting Entities or CREs. Find out if you are a Climate Reporting Entity on this fact sheet.
    Tags
    Climate related disclosure, Banking, Insurance Providers, Roles, Authorised body under a FAP, Financial Institutions, Climate Reporting Entities, Business, Managed investment schemes, Supervisor
    Type
    PDF, Fact sheet

  7. 15 February 2019

    Gifts and Hospitality since 2013 - OIA response

    OIA response, dated 15 Feb 2019, requesting information surrounding any gifts and hospitality given to FMA staff by private organisations since 2013.
    Tags
    FMA
    Type
    PDF, OIA

  8. 12 March 2018

    FMA’s media release on 12 March 2018 - OIA response

    OIA response to FMA’s media release on 12 March 2018 regarding the five businesses being warned for Anti-Money Laundering/Countering Financing of Terrorism (AML/CFT) failures. Response dated 5 April 2018.
    Tags
    FMA
    Type
    PDF, OIA

  9. 1 July 2016

    Staff and board members gifts and hospitality - OIA response

    OIA response, dated 6 July 2018, to a request regarding FMA’s policy surrounding staff and board members accepting gifts and/or hospitality and, a list of any gifts and/or hospitality accepted staff and board members since 1 July 2016.
    Tags
    FMA
    Type
    PDF, OIA

  11. 19 July 2018

    FMA OIA statistics - OIA response

    OIA response, dated 19 July 2018, asking for how many OIA requested were received for the previous two financial years.
    Tags
    FMA
    Type
    PDF, OIA

  12. 28 September 2018

    AML/CFT resourcing - OIA response

    OIA response, dated 28 September 2018, resourcing for the AML/CFT work undertaken by the Securities Commission
    Tags
    FMA
    Type
    PDF, OIA