Search results

Keywords

Date Published

Sort by:

Found 3700 results. Displaying page 164 of 247

8 December 2016

AML/CFT Monitoring Report 2016

This report summarises our monitoring activities to help firms and individuals better understand our expectations and
how they can improve their systems and processes, to comply with the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (the Act).
This report covers the period from 1 July 2015 to 30 June 2016. It was our third year of monitoring compliance with the Act.

Tags

AML/CFT, Reports and Papers, Roles, Reporting entities, Business, News & Insights

Type

PDF
22 March 2018

Update on the FMA’s ongoing review of insurance replacement business and conflicted conduct

This report follows on from our 2016 report, Replacing life insurance – who benefits? into replacement business activity within the adviser sales channel of the New Zealand life insurance market. It details our findings, the results of our inquiries to date and our expectations for advisers when they are providing advice on replacing insurance policies.

Tags

Reports and Papers, Roles, Financial Institutions, Business, News & Insights

Type

PDF
23 July 2019

Strategic Risk Outlook 2019

The Strategic Risk Outlook 2019 provides our medium-term
view (three to five years) of the most significant risks to and
opportunities for promoting fair, efficient and transparent financial markets.

Tags

FMA

Type

PDF, Corporate publications, Strategic Risk outlook
2 October 2017

Strategic Risk Outlook 2017

Our Strategic Risk Outlook provides our medium-term view (three to five years) of the most significant risks to and opportunities for promoting fair, efficient and transparent financial markets.

Tags

FMA

Type

PDF
29 November 2017

Key audit matters - A stock take of the first year in New Zealand

The purpose of this publication is to provide a stock take of the New Zealand experience in the first year of adopting the revised auditor’s report, specifically focussing on the reporting of key audit matters (KAMs).

Tags

Reports and Papers, Auditors, Roles, Business, News & Insights

Type

PDF
28 August 2019

Impact of behavioural insights on KiwiSaver enrolment communications

This report is for KiwiSaver providers and
providers of any Managed Investment Scheme.
It will also be of interest to behavioural insight researchers.

Tags

Reports and Papers, KiwiSaver providers, Roles, Business, Managed investment schemes, News & Insights

Type

PDF, Research
27 February 2019

Using behavioural insights to improve KiwiSaver outcomes

The New Zealand Government has a high-level policy intent to encourage long-term savings in order to increase wellbeing and financial independence. To contribute toward this we are running a series of trials to test whether insights from behavioural economics can improve decision-making and outcomes for KiwiSaver members. This report provides results from our second trial with ANZ.

Tags

Reports and Papers, KiwiSaver providers, Roles, Business, Managed investment schemes, News & Insights

Type

PDF, Research
1 June 2013

AML/CFT annual monitoring report 2013

This document outlines the Financial Markets Authority’s (FMA’s) priorities for monitoring reporting entities under the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (AML/CFT Act).

Tags

AML/CFT, Reports and Papers, Roles, Reporting entities, Business, News & Insights

Type

PDF
1 February 2016

AML/CFT annual monitoring report 2015

The aim of this report is to summarise our monitoring to help firms and individuals better understand our expectations, and therefore improve their systems and processes, and ensure compliance with the Act. This report covers the period from 1 July 2014 to 30 June 2015.

Tags

AML/CFT, Reports and Papers, Roles, Reporting entities, Business, News & Insights

Type

PDF
29 September 2021

AML/CFT monitoring insights report 2021

Insights from the FMA’s monitoring of New Zealand’s anti-money laundering and countering financing of terrorism measures by FMA reporting entities from 1 July 2018 – 30 June 2021

Tags

AML/CFT, Reporting entities, Roles, Business

Type

PDF, Report
3 July 2017

AML/CFT Sector Risk Assessment 2017

Our Sector Risk Assessment (SRA) helps us and the REs
we supervise understand the risks of money-laundering
(ML) and terrorism financing (TF) in each sector.

Tags

AML/CFT, Reports and Papers, Roles, Business, News & Insights

Type

PDF
1 November 2018

Bank Conduct and Culture Review

Findings from the 2018 FMA and RBNZ review of conduct and culture in New Zealand retail banks. The overall objective of this review was to understand whether there are widespread conduct and culture issues present in banks in New Zealand.

Tags

Banking, Conduct, Business

Type

PDF, Report
26 March 2021

Common sense for your dollars and cents

New rules around financial advice came into play in March 2021. The Financial Markets Authority explains the changes and why they are good news for everyday New Zealanders.

Tags

Financial advice, Consumer

Type

PDF
20 May 2019

Audit Quality Perceptions - research summary 2019

The FMA commissioned Buzz Channel to conduct research to help understand how users of audit services in New Zealand perceive auditors’ contribution to fair, efficient and transparent NZ financial markets.

Tags

Reports and Papers, Auditors, Roles, Business, News & Insights

Type

PDF, Research
1 March 2011

AML/CFT Sector Risk Assessment 2011

Our Sector Risk Assessment (SRA) helps us and the REs
we supervise understand the risks of money-laundering
(ML) and terrorism financing (TF) in each sector.

Tags

AML/CFT, Reports and Papers, Roles, Reporting entities, Business, News & Insights

Type

PDF