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Found 6593 results. Displaying page 316 of 440

  1. 5 November 2018

    Bank Conduct and Culture Consumer Survey

    The FMA and the RBNZ commissioned Buzz Channel to conduct an online survey among New Zealanders to understand their experience of the conduct and culture of the main bank they use for their personal banking.
    Tags
    Directors, Financial Advice Provider, Conduct, Roles, Banking, Business
    Type
    Page, Surveys, Research

  2. 12 November 2012

    2012 Stakeholder Survey

    View the Executive Summary of the stakeholder survey conducted by Colmar Brunton on behalf of FMA in 2012.
    Tags
    Financial Advice Provider, Roles, Independent trustee, Financial market infrastructures, Financial Adviser, Offer disclosure for equity and debt offers, Discretionary investment management scheme (DIMS), Derivative Issuer, Cryptocurrencies, Crowdfunding providers, Client money or property services provider, Authorised body under a FAP, Auditors, Administrators of financial benchmarks, Directors, Reports and Papers, Business, Interposed persons under new financial advice regime, FMA, Managed investment schemes, News & Insights, Market operator, Peer-to-peer lending service providers, Supervisor, Nominated representatives
    Type
    Research, Surveys, Page

  3. 5 August 2021

    Retail investor platforms research

    Research commissioned by the Financial Markets Authority to learn more about the use of online investing platforms, including investor profiles and behaviours.
    Tags
    Roles, Reports and Papers, Business, FMA, News & Insights
    Type
    Page, Research

  4. 29 July 2022

    Investor confidence report – annual results

    The 2022 Investor Confidence Survey found 66% of investors are confident in the country’s financial markets, down from 72% in 2021. View all annual Investor Confidence reports on this page.
    Tags
    Directors, Roles, Crowdfunding providers, Cryptocurrencies, Derivative Issuer, Discretionary investment management scheme (DIMS), Business, Managed investment schemes, Peer-to-peer lending service providers
    Type
    Page, Report, Research

  5. 6 March 2017

    Point of retirement research

    The purpose of this research was to find out if financial advice helps New Zealanders manage their retirement savings.
    Tags
    Authorised body under a FAP, Financial Advice Provider, Financial Adviser, Roles, Business, Managed investment schemes
    Type
    Page, Research

  6. 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

  7. 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

  8. 30 November 2022

    Fair conduct programmes

    Information and examples to help banks, insurers and NBDTs establish, implement and maintain their fair conduct programmes as part of their financial institution licence obligations.
    Tags
    Banking, Insurance Providers, Financial Institutions, Business
    Type
    Page, Guidance

  9. 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

  10. 1 April 2019

    AML/CFT 2018 Annual Monitoring Report

    This report summarises our monitoring activities from 1 July 2016 to 30 June 2018, to help reporting entities better understand our expectations, and what they can do to improve their systems and processes to comply with the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 and its supporting regulations.
    Tags
    AML/CFT, Roles, Business
    Type
    Page, Guidance

  11. 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

  12. 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

  13. 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

  14. 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

  15. 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