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  1. 22 August 2023

    Cigna - Settlement Agreement

    The Parties have agreed to settle all matters that were the subject of the Investigation on the terms set out in this Agreement.
    Tags
    Settlement, Enforcement
    Type
    PDF

  2. 28 April 2015

    Hanover - Settlement Agreement

    Settlement Agreement with the Directors' of Hanover Finance Ltd (HFL), United Finance Ltd (UFL) and Hanover Capital Limited (HCL), 28 April 2015.
    Tags
    Settlement, Enforcement
    Type
    PDF

  3. 29 September 2014

    General Equity - Order

    Order issued by the FMA against General Equity and associated persons of General Equity on 29 September 2014
    Tags
    Enforceable action, Formal warning, Powers, Enforcement
    Type
    PDF

  4. 21 August 2020

    acentrustltd.com

    https://acentrustltd.com/ may be operating a scam
    Tags
    Imposter website, Suspected scam, Scams
    Type
    Page

  5. 27 March 2019

    PCC decision - Richard Owen Dey and Michael Derek Wood

    The Professional Conduct Committee of the Chartered Accountants Australia New Zealand (CA ANZ) has published its findings in relation to Richard Owen Dey and Michael Derek Wood. Read more.
    Tags
    Auditors, Enforceable action, Roles, Reports and Papers, Business, News & Insights, Enforcement
    Type
    Page

  6. 15 May 2023

    NZ RegCo - MOU

    This memorandum of understanding (MOU) sets out the framework for engagement and cooperation between the FMA and NZ RegCo, which takes into account their complementary regulatory roles.
    Tags
    Regulatory cooperation, FMA
    Type
    PDF, MOU

  7. 25 January 2022

    FMA Annual Report 2021

    Our annual reports detail the results we have achieved against our stated intentions. These results then feedback into our next cycle of direction-setting, planning, implementation and review. Our annual reports are a great way to review our operational highlights for each financial year. This is the 2021 report.
    Tags
    Type
    PDF, Annual report, Corporate publications

  8. 24 January 2023

    FMA Annual Report 2022

    This is the FMA 2021/2022 annual report. Our annual reports detail the results we have achieved against our stated intentions. Our annual reports are a great way to review our operational highlights for each financial year.
    Tags
    Type
    PDF, Annual report, Corporate publications

  9. 30 October 2019

    FMA Annual Report 2019

    The FMA Annual Report 2019 details the results we have achieved against our stated intentions.
    Tags
    Type
    PDF, Annual report, Corporate publications

  10. 16 September 2016

    FMA Annual Report 2016 - highlights

    Our annual reports detail the results we have achieved against our stated intentions. These results then feedback into our next cycle of direction-setting, planning, implementation and review. Our annual reports are a great way to review our operational highlights for each financial year. This is the short version of the 2016 report.
    Tags
    Reports and Papers, FMA, News & Insights
    Type
    PDF, Annual report, Corporate publications

  11. 1 June 2012

    Licence Application Guide - overseas Auditors and Audit Firm registrations

    This guide is for overseas auditors and overseas audit firms. It explains how: an overseas audit firm can apply for authorisation of its registration; overseas auditors can apply for licences (which are not transitional licences and are referred to in this guide as ‘standard’ licences).
    Tags
    Auditors, Licence guide, Roles, Licensing & registration, Business
    Type
    PDF

  12. 5 November 2019

    Declaration Fit and Proper - Audit /Management Partner

    This statutory declaration should be completed by Audit firms managing partner/s and should be submitted to the FMA when you apply for a licence to operate.
    Tags
    Auditors, Roles, Business
    Type
    PDF, Declaration form

  13. 1 August 2013

    AML/CFT - wire transfers fact sheet

    The Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (the Act) contains a set of obligations for reporting entities to enhance the transparency of wire transfers. Wire transfers have been assessed in the National Risk Assessment as presenting a high risk of money laundering in New Zealand, which is consistent with experience overseas.
    Tags
    AML/CFT, Roles, Reporting entities, Business
    Type
    PDF, Fact sheet

  14. 12 August 2022

    Standard Conditions - FAP licences

    Standard Conditions for financial advice provider licences.
    Tags
    Financial Advice Provider, Standard conditions, Roles, Licensing & registration, Business
    Type
    PDF

  15. 11 September 2019

    Director Essentials in Te Reo Maori - IoD

    Ka tautoko ngā poari whakahaere rangatōpū pai i te angitu o ngā kaihaumi. Hei hāpai kia tipu ai, kia momoho ai ngā kamupene, me mōhio ngā whakataka ki te whakahaere mōrea me te whai i ngā huarahi mōrea i runga i te wairua takohanga. Ehara te noho hei whakataka i te ingoa noa iho. He matawhānui ngā mahi me ngā herenga matatika, ture, arumoni hoki o te tūnga whakataka. This guide was issued by the FMA and Institute of Directors.
    Tags
    Directors, Roles, Business
    Type
    PDF, Resource