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  1. 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

  2. 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

  3. 28 July 2022

    Integrated financial products: Review of managed fund documentation

    Findings from a Financial Markets Authority review of the effectiveness of disclosure information from a sample of managed investment funds labelled or marketed as being integrated financial products (e.g. sustainable, ethical, green)
    Tags
    Ethical finance, Roles, Reports and Papers, Business, Managed investment schemes, News & Insights, Supervisor
    Type
    Page

  4. 26 July 2019

    AML/CFT customer due diligence: clubs and societies

    The AML/CFT customer due diligence: clubs and societies provides guidance for clubs and societies. The type of entity the club or society is will determine the customer due diligence (CDD) that is undertaken.
    Tags
    AML/CFT, Roles, Business
    Type
    Page, Guidance

  5. 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

  6. 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

  7. 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

  8. 22 November 2019

    AML/CFT - territorial scope of the AML/CFT Act 2009

    The AML/CFT - territorial scope of the AML/CFT Act 2009 guideline is designed to help financial institutions understand the territorial scope of the Anti-Money Laundering and Countering Financing of Terrorism Act 2009.
    Tags
    AML/CFT, Roles, Business
    Type
    Page, Guidance

  9. 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

  10. 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

  11. 26 July 2019

    AML/CFT customer due diligence: co-operatives

    A co-operative is a form of business organisation that is owned and controlled by its shareholders or members, and run for their mutual benefit. The AML/CFT customer due diligence: co-operatives fact sheet may be useful when considering customers who are mutual organisations or friendly societies.
    Tags
    AML/CFT, Roles, Business
    Type
    Page, Guidance

  12. 1 August 2013

    AML/CFT acting on behalf of a customer fact sheet

    AML/CFT acting on behalf of a customer fact sheet. A person acting on behalf of a customer is subject to the same identification requirements as the customer.
    The fact sheet should be read in conjunction with the beneficial ownership guideline.
    Tags
    AML/CFT, Roles, Business
    Type
    Page, Fact sheet, Guidance

  13. 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

  14. 22 November 2019

    AML/CFT Supervisory framework

    This guidance note describes the functions and powers of the three AML/CFT supervisors. These functions and powers of the supervisors are exercised in accordance with a core set of guiding principles to help achieve consistency and integrity in our supervisory approach.
    Tags
    AML/CFT, Roles, Business
    Type
    Page, Guidance

  15. 11 October 2017

    Bank Bill Benchmark Rate and closing rates guidance note

    Bank Bill Benchmark Rate and closing rates guidance note clarifies the FMA’s expectations about the trading conduct and controls for firms participating in the trading that sets BKBM and closing rates in the New Zealand market.
    Tags
    Roles, Business, Market operator
    Type
    Page, Guidance