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  1. 18 November 2020

    Audit quality - a director’s guide

    Audit quality – a director’s guide offers guidance for directors and shareholders of New Zealand FMC reporting entities about how to improve audit quality.
    Tags
    Directors, Roles, Business
    Type
    Page, Guidance

  2. 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

  3. 30 June 2021

    Annual AML/CFT report user guide

    The Annual AML/CFT report user guide is designed to help reporting entities complete their annual AML/CFT report.
    Tags
    AML/CFT, Roles, Business
    Type
    Page, Guidance

  4. 1 February 2014

    Broker obligations

    Broker obligations guidance note is based on the law as at January 2014, and is for brokers (as defined in the Financial Advisers Act 2008 (Act)). The focus of this guidance is on custody of client money and client property, and the key obligation of brokers to hold client money and client property on trust.
    Tags
    Type
    Page, Guidance

  5. 14 September 2023

    Pallas Group DBG

    Pallas Group includes Pallas Capital Limited FSP1004241, Pallas Trustees Limited FSP1004322, and Pallas Commercial Lending Limited FSP1004240.
    Tags
    Reporting entities, Roles, Business, Designated Business Group (DBG)
    Type
    Page

  8. 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

  9. 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

  10. 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

  11. 19 December 2014

    Response to submissions consultation paper personalised DIMS

    This paper summarises the submissions made on our Consultation paper: Personalised DIMS under the Financial Advisers Act 2008 (“the Act”) released on 19 November 2014.
    Tags
    Discretionary investment management scheme (DIMS), Consultations, Roles, Business
    Type
    Page, Paper, Guidance

  12. 17 December 2012

    Open letter to managers of collective schemes (CIS)

    Outsourcing of administration duties does not absolve the manager of a CIS from its obligations as a reporting entity under the Act. The FMA Open letter to managers of collective schemes (CIS) talks about the AML/CFT programme policies and procedures to manage any identified risks that outsoucing may present.
    Tags
    AML/CFT, Roles, Business
    Type
    Page, Guidance

  15. 20 September 2023

    ALPHA FIRST SECURITIES LIMITED

    ALPHA FIRST SECURITIES LIMITED (trading as Alpha First Mortgage Investments / Alpha First Securities) is an AML/CFT reporting entity.
    Tags
    Type
    Page