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  2. 16 June 2021

    Licensing interposed persons and engaged entity arrangements information sheet

    This information sheet sets out FMA’s approach to licensing financial advice arrangements and provides guidance on circumstances where an engaged entity or interposed person won’t need to be licensed as a FAP.
    Tags
    Roles, Licence guide, Licensing & registration, Business, Interposed persons under new financial advice regime
    Type
    PDF, Information Sheet

  3. 14 March 2023

    Financial advice regime obligations

    If you provide regulated financial advice to clients you will need to fulfil a number of duties. These duties aim to ensure all New Zealanders have access to quality financial advice, and to help build public confidence in advisers – a good thing for everyone.
    Tags
    Compliance, Financial Adviser, New Financial Advice regime, Client money or property services provider, Obligations, Roles, Financial Services Legislation Amendment Act (FSLAA), Financial Advice Provider, Business
    Type
    PDF, Information Sheet

  4. 25 October 2019

    AML/CFT - interpretation of a trust as a customer

    The following is a response made by the AML/CFT supervisors to a query questioning whether a trust can be a customer for the Act’s purposes. This clarification is supplemental to the Trusts Fact Sheet:
    Tags
    AML/CFT, Roles, Business
    Type
    PDF, Fact sheet

  5. 16 July 2021

    Birth Certicate Redaction Factsheet

    The Anti-Money Laundering and Countering the Financing of Terrorism (AML/CFT) Supervisors have produced this factsheet to confirm their position is that certain details may be redacted by a customer from their birth certificate if it is used for identity verification purposes when conducting customer due diligence.
    Tags
    AML/CFT, Roles, Business
    Type
    PDF, Fact sheet

  6. 23 August 2023

    Regulatory returns questions for licensed MIS

    Annual regulatory return information to be provided by licensed MIS providers to the FMA.
    Tags
    Roles, Regulatory returns, Business, Managed investment schemes
    Type
    Word document, Information Sheet, Spreadsheet

  8. 12 March 2018

    FMA’s media release on 12 March 2018 - OIA response

    OIA response to FMA’s media release on 12 March 2018 regarding the five businesses being warned for Anti-Money Laundering/Countering Financing of Terrorism (AML/CFT) failures. Response dated 5 April 2018.
    Tags
    FMA
    Type
    PDF, OIA

  9. 28 September 2018

    AML/CFT resourcing - OIA response

    OIA response, dated 28 September 2018, resourcing for the AML/CFT work undertaken by the Securities Commission
    Tags
    FMA
    Type
    PDF, OIA

  11. 22 March 2019

    Complaints against AFAs and RFAs - OIA response

    OIA, dated 22/03/2019, regarding complaints made to the FMA about Authorised Financial Advisers and Registered Financial Advisers over the last five years
    Tags
    FMA
    Type
    PDF, OIA

  12. 22 October 2019

    ACAMS Conference - OIA response Redacted

    OIA response, dated 22 October 2019, which looks into the FMA’s participation in the October 2019 ACAMS Conference (ACAMS Conference) and more generally about the FMA’s anti-money laundering (AML) regulatory resources.
    Tags
    FMA
    Type
    PDF, OIA

  13. 18 December 2019

    Conduct and Culture implementation and planning from banks - OIA request

    OIA response, dated 18 December 2019, discussing bank plans and progress on implementation of the Conduct and Culture report changes and what types of action the FMA will take if it is unsatisfied with the outcome or urgency of the banks’
    behaviour in establishing or implementing said plans
    Tags
    FMA
    Type
    PDF, OIA

  14. 29 August 2023

    FAQs

    This page frequently asked questions about Offers of financial products including: due diligence; kinds of financial offers; Product Disclosure statements (PDS); dual language PDS exemptions; equity offer financial information; debt offers financial information; schedule 1 offers; offers under employee share purchase schemes; small offers and offers of financial products of same class as quoted financial products.
    Tags
    Offer information, Business
    Type
    Page

  15. 29 August 2023

    Cryptotrusthub – Imposter website, unreasonable withdrawal fees

    We are aware that a New Zealand resident who put money into Cryptotrusthub has had difficulty withdrawing funds. We are concerned that Cryptotrusthub has features of a scam.
    Tags
    Imposter website, Investor warning, Consumer, Scams
    Type
    Page