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Found 4300 results. Displaying page 56 of 287

  1. 8 September 2023

    The People’s Reserve – Unregistered, offering digital currency

    We recommend caution when dealing with The People’s Reserve and related associates the people's choice , or any individuals, or entities promoting The Peoples Reserve digital currency (TPR) and related financial services.
    Tags
    Investor warning, Consumer
    Type
    Page

  2. 8 September 2023

    Ronex-Coin – Unregistered business

    We recommend caution when dealing with Ronex-Coin. Ronex-Coin offers investment plans with unrealistically high returns on crypto products and purports to be based in New Zealand but is not registered on the Financial Service Providers Register (FSPR) to provide financial services in New Zealand.
    Tags
    Investor warning, Consumer
    Type
    Page

  3. 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

  4. 1 December 2012

    AML/CFT: Issuers of securities and participants in issues

    The AML/CFT: issuers of securities and participants in issues guide will help issuers of securities and participants in securities issues to determine if they have compliance obligations under the AML/CFT Act and if the FMA is their supervisor.
    Tags
    AML/CFT, Roles, Business
    Type
    Page, Guidance

  5. 19 January 2023

    Managed Investment Scheme – Sector Risk Assessment

    This sector risk assessment (SRA) identifies some areas in the Managed Investment Schemes (MIS) sector the FMA considers to be higher risk.
    Tags
    Reports and Papers, KiwiSaver providers, Roles, Supervisors, Business, Managed investment schemes, News & Insights
    Type
    Page

  7. 23 June 2023

    Climate-related Disclosures Monitoring Plan 2023-2026

    The FMA’s approach to monitoring the compliance of climate reporting entities with their legislative requirements and reporting obligations for the climate-related disclosures regime.
    Tags
    Authorised body under a FAP, Banking, Compliance, Insurance Providers, Climate related disclosure, Financial Institutions, Roles, Climate Reporting Entities, Business, Managed investment schemes, News & Insights
    Type
    Page, Guidance

  8. 23 June 2023

    Climate-related disclosures regime and the use of third-party providers

    Guidance to assist climate reporting entities in understanding what they should consider before engaging a third-party provider to deliver services for the climate-related disclosures.
    Tags
    Authorised body under a FAP, Banking, Insurance Providers, Climate related disclosure, Financial Institutions, Roles, Climate Reporting Entities, Business, Managed investment schemes, News & Insights
    Type
    Page, Guidance

  9. 23 June 2021

    MIS liquidity risk management review

    Recommendations on liquidity stress testing frameworks, processes and procedures for managed investment schemes (MIS).
    Tags
    Roles, Business, Managed investment schemes, Supervisor
    Type
    Page, Guidance

  10. 13 October 2021

    Advertising offers of financial products under the FMC Act

    Guidance on the Financial Markets Authority’s expectations in respect of advertising financial products under the Financial Markets Conduct Act 2013
    Tags
    Cryptocurrencies, Financial Institutions, Independent trustee, Financial Adviser, Financial Advice Provider, Discretionary investment management scheme (DIMS), Derivative Issuer, Crowdfunding providers, Client money or property services provider, Authorised body under a FAP, Roles, Offer information, Fair dealing, Directors, Business, Interposed persons under new financial advice regime, Managed investment schemes, Peer-to-peer lending service providers
    Type
    Page, Guidance

  11. 1 June 2013

    Securities trustees and statutory supervisors monitoring

    Securities trustees and statutory supervisors monitoring guidance note is for licensed securities trustees and statutory supervisors. It sets out the Financial Market Authority’s (FMA) expectations of how they will carry out their monitoring functions effectively.
    Tags
    Independent trustee, Roles, Supervisors, Business
    Type
    Page, Guidance

  12. 20 September 2023

    KiwiSaver 2023 – Holding firm as contributions feature

    Opinion piece from Stuart Johnson, FMA Chief Economist following the release of the KiwiSaver Annual Report 2023.
    Tags
    KiwiSaver providers, Opinion, Managed Investment Schemes, Roles, Business, Managed investment schemes, News & Insights, Supervisor
    Type
    Page

  15. 29 September 2023

    FMA consults on proposed liquidity risk management guidance

    FMA has released proposed guidance for Managed Investment Scheme (MIS) managers and their supervisors for effective liquidity risk management (LRM).
    Tags
    Media release, Supervisors, Roles, Business, Managed investment schemes, News & Insights
    Type
    Page