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  1. 23 August 2023

    FMA acknowledges guilty verdict in Pushpay insider trading case

    FMA acknowledges today’s guilty verdict in the criminal trial of an individual accused of insider conduct in relation to the sale of shares in Pushpay Holdings Limited.
    Tags
    Media release, Insider trading, News & Insights, Enforcement
    Type
    Page

  8. 29 August 2023

    Bancorp DBG

    Bancorp DBG including: Bancorp Credit Cards Limited, Bancorp Bancorp Group Limited, Bancorp Income Choice Limited, Bancorp Wealth Management Limited, Castlerock GP Limited, Youown Housing GP Limited, Kakapo Management Limited, Kakapo GP Limited.
    Tags
    AML/CFT, Roles, Reporting entities, Business, Designated Business Group (DBG)
    Type
    Page

  10. 12 November 2012

    2012 Stakeholder Survey

    View the Executive Summary of the stakeholder survey conducted by Colmar Brunton on behalf of FMA in 2012.
    Tags
    Financial Advice Provider, Roles, Independent trustee, Financial market infrastructures, Financial Adviser, Offer disclosure for equity and debt offers, Discretionary investment management scheme (DIMS), Derivative Issuer, Cryptocurrencies, Crowdfunding providers, Client money or property services provider, Authorised body under a FAP, Auditors, Administrators of financial benchmarks, Directors, Reports and Papers, Business, Interposed persons under new financial advice regime, FMA, Managed investment schemes, News & Insights, Market operator, Peer-to-peer lending service providers, Supervisor, Nominated representatives
    Type
    Research, Surveys, Page

  11. 29 July 2022

    Investor confidence report – annual results

    The 2022 Investor Confidence Survey found 66% of investors are confident in the country’s financial markets, down from 72% in 2021. View all annual Investor Confidence reports on this page.
    Tags
    Directors, Roles, Crowdfunding providers, Cryptocurrencies, Derivative Issuer, Discretionary investment management scheme (DIMS), Business, Managed investment schemes, Peer-to-peer lending service providers
    Type
    Page, Report, Research

  12. 9 November 2022

    Monitoring of licensed Financial Advice Providers (FAPs)

    The Monitoring of licensed Financial Advice Providers information sheet explains how we carry out monitoring activities, what we expect of you, and what you can expect from us.
    Tags
    Financial Advice Provider, Roles, Business
    Type
    Page, Guidance

  13. 16 July 2021

    Amended Identity Verification Code of Practice 2013

    AML/CFT amended identity verification code of practice 2013 provides a suggested best practice for all reporting entities conducting name and date of birth identity verification on customers (that are natural persons).
    Complying with a code of practice is not mandatory, although it constitutes a safe harbour. If a reporting entity fully complies with the code it is deemed to be compliant with the relevant parts of the Act. If a reporting entity opts out of the code, it must inform its supervisor and must adopt practices that are equally effective, otherwise, it risks non-compliance.
    Tags
    AML/CFT, Roles, Business
    Type
    Page, Guidance

  14. 2 February 2017

    A guide to the FMA's view of conduct

    A guide to FMA's view of conduct guide describes why good conduct matters and how high standards of conduct support fair, efficient and transparent markets. This handbook is intended as a reference for directors, executives and advisers to decide how best to apply the principles for corporate governance to their particular entity.
    Tags
    Derivative Issuer, Conduct, Independent trustee, Financial Advice Provider, Offer disclosure for equity and debt offers, Discretionary investment management scheme (DIMS), Cryptocurrencies, Crowdfunding providers, Authorised body under a FAP, Auditors, Roles, Financial Adviser, Directors, Client money or property services provider, Business, Interposed persons under new financial advice regime, Managed investment schemes, Market operator, Peer-to-peer lending service providers, Supervisor, Nominated representatives
    Type
    Page, Guidance

  15. 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