Back

Search results

Found 6496 results. Displaying page 5 of 434

  2. 6 September 2018

    Preparing for investment storms

    As part of the Sorted Money Week 2018 ‘Weathering the storm’ the Financial Markets Authority (FMA) is focussing on helping younger KiwiSaver members prepare for when investment markets fall in value.
    Tags
    Media release, KiwiSaver providers, KiwiSaver & Superannuation, Roles, Business, Consumer, Managed investment schemes, News & Insights
    Type
    Page

  3. 20 July 2022

    Managing your investment

    The longer your investment timeframe, the more the value of your investments can compound upwards and grow. Learn how to get the most out of your investments here.
    Tags
    Investing, Investment basics, Consumer
    Type
    Page

  4. 3 May 2016

    Craigs Investment Partners Limited

    The FMA conducted an investigation into potential breaches of the Anti-Money
    Laundering and Countering Financing of Terrorism Act 2009 in relation
    to Craigs. Read more.
    Tags
    AML/CFT, Roles, Formal warning, Powers, AML/CFT formal warning, Business, Enforcement
    Type
    Page

  5. 9 May 2017

    IMF financial system stability assessment 2017

    This report is based on the work of the Financial Sector Assessment Program (FSAP) missions that visited New Zealand in August 16–September 7, 2016 and November 2–17, 2016.
    Tags
    Reports and Papers, Business, FMA, News & Insights
    Type
    PDF

  6. 1 November 2021

    Self assessment tool key outsourcing arrangements

    As a small business, we expect you’ll need to outsource some functions to third parties. It’s important that you protect your reputation and your clients by conducting robust background checks, putting contractual agreements in place, and performing regular reviews to ensure suppliers of key functions are up to the task and can meet your expectations and Financial Advice Provider (FAP) obligations. As a FAP, you remain responsible for any functions that you outsource.
    Tags
    Authorised body under a FAP, Financial Advice Provider, Roles, Business
    Type
    PDF, Information Sheet

  7. 11 July 2012

    AML/CFT Countries assessment guideline

    This guideline is designed to help you decide when you need to undertake this assessment, and how you could go about it. It provides information only and cannot be relied on as evidence of complying with the requirements of the AML/CFT Act.
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    PDF

  8. 11 June 2012

    AML/CFT countries assessment guideline

    The AML/CFT Countries Assessment Guideline is designed to help reporting entities decide when they will have to assess aspects of another country's regulatory environment and how they could do it.
    Under the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (the AML/CFT Act), and regulations made under the AML/CFT Act, you may need to assess aspects of another country’s regulatory environment. This may be necessary when you deal with a customer or institution resident or supervised in or from a foreign country.
    Tags
    AML/CFT, Roles, Business
    Type
    Page, Guidance

  9. 9 August 2019

    Strategic Risk Outlook

    Our Strategic Risk Outlook provides our medium-term view (three to five years) of the most significant risks to and opportunities for promoting fair, efficient and transparent financial markets.
    Tags
    Type
    Page, Corporate publications, Strategic Risk outlook

  10. 31 July 2023

    Standard 17 Operational risk

    Standard 17 Operational risk for designated Financial Market Infrastructures (FMIs).
    Tags
    Financial market infrastructures, Roles, Business
    Type
    PDF

  11. 31 July 2023

    Standard 4 Credit risk

    Standard 4 Credit risk for designated Financial Market Infrastructures (FMIs).
    Tags
    Financial market infrastructures, Roles, Business
    Type
    PDF

  12. 31 July 2023

    Standard 7 Liquidity risk

    Standard 7 Liquidity risk for designated Financial Market Infrastructures (FMIs).
    Tags
    Financial market infrastructures, Roles, Business
    Type
    PDF

  13. 23 July 2019

    Strategic Risk Outlook 2019

    The Strategic Risk Outlook 2019 provides our medium-term
    view (three to five years) of the most significant risks to and
    opportunities for promoting fair, efficient and transparent financial markets.
    Tags
    FMA
    Type
    PDF, Corporate publications, Strategic Risk outlook

  14. 2 October 2017

    Strategic Risk Outlook 2017

    Our Strategic Risk Outlook provides our medium-term view (three to five years) of the most significant risks to and opportunities for promoting fair, efficient and transparent financial markets.
    Tags
    FMA
    Type
    PDF