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  1. 24 May 2018

    New Zealand Equity Market Cleanliness for the years 2010-2016

    The assessment is based on the prevalence of abnormal price movements ahead of material price sensitive announcements -measured by the market cleanliness statistic (MCS).
    Tags
    Offer disclosure for equity and debt offers, Roles, Reports and Papers, Business, News & Insights
    Type
    Page, Report

  2. 2 July 2021

    Filing of financial statements: review findings and guidance

    This report provides a summary of the key findings and insights from the FMA’s monitoring review of financial reporting filing obligations. Also provides guidance and sets expectations for future reporting periods.
    Tags
    Directors, Reports and Papers, Roles, Auditors, Business, News & Insights
    Type
    Page, Financial reporting

  3. 30 June 2023

    Media releases

    The FMA issues media releases on a regular basis to keep the market informed of latest news. See a full list of media releases on this page.
    Tags
    Media release, News & Insights
    Type
    Page

  4. 5 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
    Auditors, Climate related disclosure, Roles, Ethical finance, Climate Reporting Entities, Business
    Type
    PDF

  5. 1 February 2014

    New Zealand Capital Finance

    New Zealand Capital Finance website: www.fspfinancial.co.nz/ made False/misleading advertising. ASSOCIATED PERSON: Joaquim Almeida
    Tags
    Suspected scam, Scams
    Type
    Page

  6. 31 July 2023

    FMI Standards Guidance

    This guidance is intended to assist operators of Financial Market Infrastructures (FMIs), designated under the Financial Market Infrastructures Act 2021 (the Act), meet the requirements set out in the FMI Standards issued under section 31 of the Act
    Tags
    Financial market infrastructures, Roles, Business
    Type
    PDF

  12. 1 May 2018

    AML/CFT Risk Assessment Guideline

    This guideline is designed to help you conduct your money laundering and terrorism financing risk assessment (risk assessment) under the Anti-Money Laundering and Countering Financing of Terrorism (AML/CFT) Act 2009 (the Act).
    Tags
    AML/CFT, Roles, Reporting entities, Business
    Type
    PDF

  13. 1 December 2012

    Issuers of securities and participants in issues guideline

    This guideline is for businesses registered on the Financial Services Providers Register (FSPR) as an issuer of securities or who participate in issues of securities. If you are either of them, this guideline will help you to determine if you have obligations under the Anti-Money Laundering and Countering the Financing of Terrorism Act 2009 (AML/CFT Act).
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    PDF

  14. 1 May 2018

    AML/CFT Risk Assessment Guideline

    This guideline is designed to help you conduct your money laundering and terrorism financing risk assessment (risk assessment) under the Anti-Money Laundering and Countering Financing of Terrorism (AML/CFT) Act 2009 (the Act).
    Tags
    AML/CFT, Roles, Business
    Type
    PDF, Guidance

  15. 1 October 2019

    AMLCFT Audit Guideline

    This guidance is to help reporting entities understand the AML/CFT audit (“audit”) requirements in terms of the AntiMoney Laundering and Countering Financing of Terrorism Act 2009 and undertake an effective and credible audit of their risk assessment and AML/CFT programme.
    Tags
    AML/CFT, Compliance, Roles, Business
    Type
    PDF, Guidance