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Found 1932 results. Displaying page 74 of 129

  1. 1 April 2019

    AML/CFT 2018 Annual Monitoring Report

    This report summarises our monitoring activities from 1 July 2016 to 30 June 2018, to help reporting entities better understand our expectations, and what they can do to improve their systems and processes to comply with the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 and its supporting regulations.
    Tags
    AML/CFT, Roles, Business
    Type
    Page, Guidance

  2. 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

  3. 16 January 2012

    AML/CFT guide for small financial adviser businesses

    The AML/CFT guide for small financial adviser businesses is designed to help financial advisers working independently or in a small business comply with their obligations under the Anti-Money Laundering and Countering the Financing of Terrorism Act 2009 (the AML/CFT Act) and associated regulations (together AML/CFT law).
    Tags
    AML/CFT, Roles, Business
    Type
    Page, Guidance

  4. 26 June 2015

    Calculation of returns for DIMS providers

    The Calculation of returns for DIMS providers information sheet outlines what methodology we expect providers of Discretionary Investment Management Services (DIMS) licensed under the Financial Markets Conduct Act 2013 (Act) (DIMS licensees) to use when calculating returns required by the Financial Markets Conduct Regulations 2014 (Regulations).
    Tags
    Discretionary investment management scheme (DIMS), Roles, Business
    Type
    Page, Guidance, Information Sheet

  5. 22 October 2015

    Custodians’ obligations information sheet

    The Custodians' obligations information sheet outlines the obligations of custodians under the Financial Advisers (Custodians of FMCA Financial Products) Regulations 2014.
    Tags
    Client money or property services provider, Roles, Business
    Type
    Page, Guidance

  7. 18 October 2023

    Exemption Notice - Financial Markets Conduct (Product Disclosure Statements in Te Reo Māori and English) Exemption Notice 2023

    The Financial Markets Conduct (Product Disclosure Statements in Te Reo Māori and English) Exemption Notice 2023 provides an exemption for issuers of financial products who wish to provide their PDS in both te reo Māori and English, providing relief from the requirements in the FMC Regulations relating to the prescribed length limits and, if necessary, some prescribed statements and formatting.
    Tags
    Exemptions, Business
    Type
    PDF

  8. 5 September 2023

    Governance Thematic Review

    A joint RBNZ and FMA thematic review examining the policies, processes and operational practices of boards of financial institutions in key areas of governance.
    Tags
    Directors, Banking, Conduct, Insurance Providers, Conduct of Financial Institutions Bill (CoFI), Roles, Reports and Papers, Business, News & Insights
    Type
    Page

  9. 23 October 2019

    Financial Markets Conduct (Obsidian Contributory Mortgage Scheme) Exemption Notice 2019

    Financial Markets Conduct (Obsidian Contributory Mortgage Scheme) Exemption Notice 2019 comes into force on 22 October 2019 and is revoked on 21 October 2024. This notice exempts Obsidian Group Limited (the Manager) from some provisions of the Financial
    Markets Conduct Regulations 2014 (the Regulations) and the Financial Markets Conduct Act
    2013 (the Act) in respect of the Obsidian Contributory Mortgage Scheme (the Scheme).
    Tags
    Exemptions, Business
    Type
    Page

  10. 2 April 2024

    Maxipay Limited – Imposter website

    www.MaxiPayLtd.com is falsely using the details of the registered New Zealand company Maxipay Limited (NZBN: 9429031572064), including its name, company number, and address. The director of Maxipay Limited has confirmed no association with the website.
    Tags
    Imposter website, Suspected scam, Investor warning, Consumer, Scams
    Type
    Page

  11. 1 April 2019

    Financial Markets Conduct (Harbour Investment Funds) Exemption Notice 2019

    Financial Markets Conduct (Harbour Investment Funds) Exemption Notice 2019 exempts Harbour Asset Management Limited (Harbour), the manager of the Harbour Investment Funds (Scheme) from clauses 53(1)(c)(viii), 53(1)(j), 54(1)(a)(i), 54(1)(d) and 70(1)(a)(i) of Schedule 4 of the Financial Markets Conduct Regulations 2014 (Regulations). Read more.
    Tags
    Exemptions, Business
    Type
    Page

  15. 21 November 2023

    Financial Markets Conduct (Portfolio Superannuation Scheme) Exemption Notice 2023

    The Notice exempts Saturn Invest New Zealand (Saturn) as manager of the Portfolio Superannuation Scheme (the self-select scheme) from certain provisions of the Financial Markets Conduct Act 2013 (the FMC Act), the Financial Markets Conduct Regulations 2014 (the FMC Regulations), and the Financial Markets Conduct (Fees) Regulations 2014.
    Tags
    Exemptions, Business
    Type
    Page, Current, Financial Markets Conduct Act exemptions, Exemption notice