Back

Search results

Found 5975 results. Displaying page 27 of 399

  1. 19 July 2022

    Fraud case study: Close call in Starlink IPO share scam

    This fraud case study documents the story of someone we call Sarah (not her real name) to report an odd encounter she had with a company claiming to help her get shares in Starlink – the global satellite-based internet venture founded by Tesla and SpaceX’s Elon Musk.
    Tags
    Scams
    Type
    Page

  8. 1 May 2018

    AML/CFT Risk Assessment Guideline

    This guideline is designed to help you conduct your money laundering and terrorism financing risk assessment (risk assessment) under the Anti-Money Laundering and Countering Financing of Terrorism (AML/CFT) Act 2009 (the Act).
    Tags
    AML/CFT, Roles, Reporting entities, Business
    Type
    PDF

  9. 1 December 2012

    Issuers of securities and participants in issues guideline

    This guideline is for businesses registered on the Financial Services Providers Register (FSPR) as an issuer of securities or who participate in issues of securities. If you are either of them, this guideline will help you to determine if you have obligations under the Anti-Money Laundering and Countering the Financing of Terrorism Act 2009 (AML/CFT Act).
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    PDF

  10. 11 July 2012

    AML/CFT Countries assessment guideline

    This guideline is designed to help you decide when you need to undertake this assessment, and how you could go about it. It provides information only and cannot be relied on as evidence of complying with the requirements of the AML/CFT Act.
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    PDF

  11. 1 May 2018

    AML/CFT Risk Assessment Guideline

    This guideline is designed to help you conduct your money laundering and terrorism financing risk assessment (risk assessment) under the Anti-Money Laundering and Countering Financing of Terrorism (AML/CFT) Act 2009 (the Act).
    Tags
    AML/CFT, Roles, Business
    Type
    PDF, Guidance

  12. 1 October 2019

    AMLCFT Audit Guideline

    This guidance is to help reporting entities understand the AML/CFT audit (“audit”) requirements in terms of the AntiMoney Laundering and Countering Financing of Terrorism Act 2009 and undertake an effective and credible audit of their risk assessment and AML/CFT programme.
    Tags
    AML/CFT, Compliance, Roles, Business
    Type
    PDF, Guidance

  13. 9 August 2019

    Guidance on Expired Passports as Identification for Customer Due Diligence

    The AML/CFT supervisors have become aware of the need for clear guidance on the use of expired passports as part of Customer Due Diligence procedures and how it relates to the
    Amended Identity Verification Code of Practice 2013 (‘the code’).
    Tags
    AML/CFT, Roles, Reporting entities, Business
    Type
    PDF, Guidance

  14. 1 February 2014

    Investor experience of IPOs - research report

    This document explores attitudes towards investing in New Zealand’s financial markets, understand the experience of investing in New Zealand’s financial markets, understand the
    impact of offer documentation on investment decisions, and additionally, this research aims to provide profiling information on New Zealand investors. February 2014
    Tags
    Reports and Papers, Business, News & Insights
    Type
    PDF, Research

  15. 30 June 2015

    User Guide: Annual AML/CFT Report

    The annual report is required by section 60 of New Zealand’s Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (‘the Act’). The annual report applies to
    activities that are covered by the Act.
    Tags
    AML/CFT, Roles, Reporting entities, Business
    Type
    PDF, Report