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Found 3230 results. Displaying page 47 of 216

  3. 21 May 2021

    Costs of FADC case - OIA request

    OIA response, dated 21 May 2021, costs incurred from investigation commencement to completion by FMA and FADC relating to FADC case reference FADC 010
    Tags
    Type
    PDF, OIA

  4. 12 November 2020

    Cases Investigated - OIA request

    OIA response, dated 12 November 2020, questions asked around the policies, documents, communications and number of cases / prosecutions the FMA has assessed between 1 July 2017 - 12 November 2020
    Tags
    FMA
    Type
    PDF, OIA

  6. 28 July 2022

    Ethical Investment Journey Research

    This report contains the findings from a qualitative study interviewing a range of New Zealanders about their experience of and journey to buying an ethical* investment.
    Tags
    Ethical finance, Roles, Directors, Business, Managed investment schemes, Supervisor
    Type
    Page, Research

  7. 11 September 2023

    Campaigns

    The FMA works with a number of partners around the world to increase awareness of investing, KiwiSaver and Scams. This page displays our campaign activity.
    Tags
    Investing, Campaigns, Campaigns, Consumer, News & Insights
    Type
    Page

  8. 12 September 2023

    Campaigns

    The FMA works with a number of partners around the world to increase awareness of investing, KiwiSaver and Scams. This page displays our campaign activity. 
    Tags
    Campaigns, Investing, Consumer
    Type
    Page

  9. 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

  12. 16 July 2021

    Explanatory Note: Electronic Identity Verification Guideline July 2021

    This Explanatory Note: Electronic Identity verification Guideline replaces the previous Explanatory Note that was published by the Anti-Money Laundering and Countering Financing of Terrorism (AML/CFT) Supervisors in December 2017.
    Tags
    AML/CFT, Roles, Crowdfunding providers, Business
    Type
    Page, Guidance

  13. 29 October 2021

    High-Risk Jurisdictions subject to a "Call for Action" – FATF

    This guidance is to assist reporting entities comply with the public statement issued by FATF on High-Risk Jurisdictions subject to a “Call for Action” and the subsequent Advisory issued by the Ministry of Justice and the New Zealand Police in this regard.
    Tags
    AML/CFT, Roles, Reporting entities, Business
    Type
    Page, Guidance

  14. 9 March 2021

    Australian Licensees Exemption Notice guidance

    This guidance note provides an overview of the exemption notice relating to Australian advice businesses giving advice to New Zealand retail clients, and the circumstances in which a business may be able to rely on it.
    Tags
    Financial Advice Provider, Roles, Financial Adviser, Financial Institutions, Business
    Type
    Page, Guidance

  15. 17 April 2020

    COVID-19: KiwiSaver significant financial hardship applications

    COVID-19: KiwiSaver significant financial hardship applications – alternative steps to verify identity and financial circumstances
    Tags
    COVID-19, Roles, Business, Managed investment schemes, News & Insights, Supervisor
    Type
    Page, Guidance