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Found 3698 results. Displaying page 61 of 247

  1. 4 October 2019

    AML/CFT Audit Guideline for risk assessment and AML/CFT programme

    The AML/CFT Audit Guideline for risk assessment and AML/CFT programme is designed to help reporting entities manage the requirement to audit their AML/CFT risk assessment and AML/CFT programme.
    Tags
    AML/CFT, Roles, Business
    Type
    Page, Guidance

  2. 14 December 2017

    AML/CFT interpreting 'ordinary course of business' guideline

    The AML/CFT interpreting 'ordinary course of business' guideline is designed to help clarify the meaning of the phrase "in the ordinary course of business" in the definition of financial institution in the AML/CFT Act 2009. The meaning of this phrase is important if your business conducts one (or more) of the activities listed under the definitions of financial institution”, “designated non-financial business or profession”, and “high-value dealer” in the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (AML/CFT Act).
    Tags
    AML/CFT, Roles, Business
    Type
    Page, Guidance

  4. 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

  5. 14 December 2017

    AML/CFT designated business group: scope guideline

    This guideline is designed to assist reporting entities to understand which obligations may be shared by members of a designated business group (DBG).
    Tags
    AML/CFT, Roles, Business, Designated Business Group (DBG)
    Type
    Page, Guidance

  6. 30 August 2018

    AML/CFT staff training video

    The AML/CFT staff training video is designed to help our reporting entities understand how they can meet their obligation of training new and existing staff.
    Tags
    AML/CFT, Compliance, Roles, Business
    Type
    Page, Guidance

  7. 18 November 2020

    Audit quality - a director’s guide

    Audit quality – a director’s guide offers guidance for directors and shareholders of New Zealand FMC reporting entities about how to improve audit quality.
    Tags
    Directors, Roles, Business
    Type
    Page, Guidance

  8. 14 May 2018

    AML/CFT risk assessment guideline

    The AML/CFT risk assessment guideline was updated in 2018 and is designed to help reporting entities conduct a risk assessment, as required under section 58 of the Anti-Money Laundering and Countering Financing of Terrorism Act.
    Tags
    AML/CFT, Roles, Business
    Type
    Page, Guidance

  9. 14 May 2018

    AML/CFT programme guideline

    The AML/CFT programme guideline was updated in 2018 and is designed to help reporting entities develop their AML/CFT programme.
    Tags
    AML/CFT, Roles, Business
    Type
    Page, Guidance

  10. 30 June 2021

    Annual AML/CFT report user guide

    The Annual AML/CFT report user guide is designed to help reporting entities complete their annual AML/CFT report.
    Tags
    AML/CFT, Roles, Business
    Type
    Page, Guidance

  11. 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

  12. 1 December 2014

    Debt offers: continuous information sheet

    The Debt offers: continuous information sheet provides an overview of the transition to the FMA Act for a Debt offers – continuous. It outlines a working example of the key activities and indicative timings for each step of the transition.
    Tags
    FMC Act, Legislation, Business
    Type
    Page, Guidance

  13. 1 December 2014

    Debt offers: one off information sheet

    Debt Offers: one off, information Sheet Debt offers one-off outlines the transition of Debt offers one-off (Excluding banks and non-bank deposit takers) to FMC Act. It outlines a working example of the key activities and indicative timings for each step of the transition.
    Tags
    Offer information, FMC Act, Legislation, Business
    Type
    Page, Guidance

  14. 15 February 2018

    Designation of certain shares in investment companies as managed investment products

    Designation of certain shares to MIPs information sheet explains the class notice which designates certain shares in investment companies as managed investment products, and the company which issues them as a managed investment scheme.
    Tags
    Roles, Business, Managed investment schemes, Supervisor
    Type
    Page, Guidance

  15. 28 February 2018

    Corporate governance in New Zealand: Principles and guidelines

    The Corporate governance in New Zealand: Principles and guidelines handbook assists directors, executives and advisers of non-listed and public-sector companies, and other entities, to apply corporate governance principles to their particular entity.
    Tags
    Directors, Roles, Business
    Type
    Page, Guidance