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12 December 2017

Open letter to managers of collective investment schemes

Open letter to managers of collective investment schemes ahead of the anti-Money laundering and Countering Financing Terrorism Act 2009.
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.
1 October 2014

Getting the best outcome from your AMLCFT Audit

This information is intended to help our REs, especially small financial adviser businesses, get value from their AML/CFT Audit. Adopting all (or any) of these items in discussions with auditors is optional, but we believe that by considering these suggestions, REs are more likely to achieve the best possible results from their audit.
20 August 2021

Sharesies Limited - Formal Warning

FMA issued a formal warning to Sharesies Limited and Sharesies Nominee Limited for failing to have sufficient anti-money laundering procedures, policies, and controls in place.
20 March 2020

Tiger Brokers (NZ) Limited - Formal Warning

FMA issued a formal warning to NZX-accredited broker Tiger Brokers (NZ) Limited for failing to have several adequate anti-money laundering protections in place. 20 March 2020.
2 May 2016

Craigs - Settlement Agreement

Craigs and FMA Settlement agreement,following an investigation into potential breaches of Anti-Money Laundering and Countering Financing of Terrorism Act 2009 in relation to Craigs. 2 May 2016.
10 October 2019

Circle Markets Limited - Formal Warning

Notification of a formal warning from the FMA to Circle Markets Ltd under section 80 of the Anti-money laundering and countering finance of terrorism Act 2009. 10 October 2019.
23 November 2017

Fullerton Markets Ltd - Warning

Notification of a formal warning from the FMA to Fullerton Markets Ltd under section 80 of the Anti-money laundering and countering finance of terrorism Act 2009. 23 November 2017.
1 October 2018

Class exemption for managing intermediaries

This information sheet explains the conditions for reporting entities whose customers include managing intermediaries and customers of managing intermediaries to be able to rely on the Anti-Money Laundering and Countering Financing of Terrorism (Class Exemptions) Notice. .
29 April 2024

Beneficial ownership guideline

This guideline is to assist reporting entities in meeting the requirement to perform customer due diligence on the customer and beneficial owners of the customer under sections 11-26 of the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (‘the Act’).