Back

Search results

Found 5811 results. Displaying page 233 of 388

  1. 11 July 2019

    Cyber-resilience in FMA-regulated financial services guidance

    Cyber-resilience in FMA-regulated financial services report summarises the findings of our thematic review of cyber-resilience in New Zealand financial services and provides guidance for firms in areas where we have identified the need for improvement. It will be useful for our regulated sectors, to help ensure they comply with our expectations and best practice.
    Tags
    Derivative Issuer, Crowdfunding Service Provider, Financial Adviser, Financial Advice Provider, Offer disclosure for equity and debt offers, Discretionary investment management scheme (DIMS), Cryptocurrencies, Client money or property services provider, Authorised body under a FAP, Roles, Directors, Crowdfunding providers, Business, Interposed persons under new financial advice regime, FMA, Managed investment schemes, Market operator, Peer-to-peer lending service providers, Supervisor, Nominated representatives
    Type
    Page, Guidance

  2. 1 December 2014

    Debt offers: continuous information sheet

    The Debt offers: continuous information sheet provides an overview of the transition to the FMA Act for a Debt offers – continuous. It outlines a working example of the key activities and indicative timings for each step of the transition.
    Tags
    FMC Act, Legislation, Business
    Type
    Page, Guidance

  3. 1 December 2014

    Debt offers: one off information sheet

    Debt Offers: one off, information Sheet Debt offers one-off outlines the transition of Debt offers one-off (Excluding banks and non-bank deposit takers) to FMC Act. It outlines a working example of the key activities and indicative timings for each step of the transition.
    Tags
    Offer information, FMC Act, Legislation, Business
    Type
    Page, Guidance

  4. 1 December 2014

    Corporate debt issuers information sheet

    The Corporate debt issuers information sheet provides an overview of the transition to the FMC Act for Corporate debt issuers. It outlines a working example of the key activities and indicative timings for each step of the transition for Corporate debt issuers.
    Tags
    FMC Act, Legislation, Business
    Type
    Page, Guidance

  5. 26 May 2022

    Record keeping for financial advice providers

    This information sheet sets out our expectations for how licensed financial advice providers (FAPs) can demonstrate compliance with the standard condition for record keeping.
    Tags
    Financial Advice Provider, Roles, Business
    Type
    Page, Guidance

  7. 16 October 2022

    Climate risks and the impact on financial statement audits

    This document provides clarity for auditors about the expectations for information about climate risks in audit files.
    Tags
    Climate related disclosure, Auditors, Roles, Ethical finance, Authorised body under a FAP, Climate Reporting Entities, Business, Managed investment schemes, Supervisor
    Type
    Page, Guidance

  8. 8 July 2022

    Approach to oversight of financial statements

    In this document we provide a summary of our main work in monitoring compliance with financial reporting obligations by FMC reporting entities and registered schemes (regulated entities) from 2022-2025.
    Tags
    Auditors, Directors, Roles, Climate related disclosure, Climate Reporting Entities, Business
    Type
    Page, Financial reporting, Guidance

  9. 9 July 2021

    AML/CFT regulations update 2021

    New Zealand’s Anti-Money Laundering and Countering Financing of Terrorism (AML/CFT) system is intended to adapt as money laundering and terrorism financing risks evolve. Two regulations, that are a key part of the AML/CFT system, were due to expire. These are the AML/CFT (Exemptions) Regulations 2011 which were scheduled to expire on 30 June 2020, and the AML/CFT (Definitions) Regulations 2011 which partially expire on 27 July 2021. This document sets out the changes and updates made for these regulations. These changes come into force 9 July 2021.
    Tags
    AML/CFT, Regulation updates, Roles, Business, Nominated representatives
    Type
    Page, Guidance

  10. 29 July 2021

    Developing cyber resilience for financial advice providers

    Guidance for small and medium-sized financial advice providers (FAPs) on enhancing the security and resilience of their technology systems.
    Tags
    Roles, Financial Advice Provider, Directors, Financial Adviser, Business
    Type
    Page, Guidance

  11. 16 July 2021

    Explanatory Note: Electronic Identity Verification Guideline July 2021

    This Explanatory Note: Electronic Identity verification Guideline replaces the previous Explanatory Note that was published by the Anti-Money Laundering and Countering Financing of Terrorism (AML/CFT) Supervisors in December 2017.
    Tags
    AML/CFT, Roles, Crowdfunding providers, Business
    Type
    Page, Guidance

  12. 10 December 2020

    Providing overseas firms’ research reports to retail clients

    Research reports produced by overseas firms may be distributed by New Zealand advice firms to their retail clients. This information sheet discusses how this will be regulated under the Financial Markets Conduct Act 2013 (FMC Act) from 15 March 2021.
    Tags
    Financial Advice Provider, Roles, Business
    Type
    Page, Guidance

  13. 11 August 2022

    Introductory guide to full licence requirements

    This guide is for businesses or individuals applying for a Financial Advice Provider (FAP) full licence. It explains how to complete your online application, including the information you will need at the time you apply when full licensing opens from 15 March 2021.
    Tags
    Authorised body under a FAP, Client money or property services provider, Financial Advice Provider, Financial Adviser, Roles, Licensing & registration, Business, Interposed persons under new financial advice regime, Nominated representatives
    Type
    Page, Guidance

  14. 29 October 2021

    High-Risk Jurisdictions subject to a "Call for Action" – FATF

    This guidance is to assist reporting entities comply with the public statement issued by FATF on High-Risk Jurisdictions subject to a “Call for Action” and the subsequent Advisory issued by the Ministry of Justice and the New Zealand Police in this regard.
    Tags
    AML/CFT, Roles, Reporting entities, Business
    Type
    Page, Guidance

  15. 14 December 2020

    Disclosure framework for integrated financial products

    This document gives guidance on the advertising and disclosure expectations of the Financial Markets Authority in respect of financial products that incorporate non-financial factors.
    Tags
    Offer information, Roles, Offers of financial products, Business
    Type
    Page, Guidance