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  1. 12 October 2021

    Advertising offers of financial products under the FMC Act guidance

    This guidance focuses on the application of the fair dealing provisions in Part 2 of the FMC Act to communications made for the purposes of advertising or promoting offers of financial products (advertising). This guidance also covers the application of the specific advertising provisions in Part 3 of the FMC Act for regulated offers of financial products.
    Tags
    Crowdfunding providers, Cryptocurrencies, Derivative Issuer, Financial Advice Provider, Roles, Business, Managed investment schemes, Peer-to-peer lending service providers
    Type
    PDF

  2. 16 July 2021

    Amended Identity Verification Code of Practice 2013

    This code of practice provides a suggested best practice for all reporting entities conducting name and date of birth identity verification on customers (that are natural persons) that have been assessed to be low to medium risk. Identification involves obtaining from the customer a range of information about him or her (“identity information”). Verification involves confirming some of that information against documents, data or information obtained from a reliable and independent source.
    Tags
    AML/CFT, Compliance, Roles, Reporting entities, Business
    Type
    PDF

  3. 1 December 2017

    AML/CFT interpreting ordinary course of business guideline

    This guideline is designed to help clarify the meaning of the phrase “in the ordinary course of business”. 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
    PDF, Guidance

  4. 12 October 2022

    AML/CFT Programme Guideline

    This guideline is designed to help you develop and implement your anti-money laundering and countering financing of terrorism programme (programme) under
    the Anti-Money Laundering and Countering Financing of Terrorism (AML/CFT) Act 2009 (the Act).
    Tags
    AML/CFT, Roles, Reporting entities, Business
    Type
    PDF

  5. 1 May 2018

    AML/CFT Risk Assessment Guideline

    This guideline is designed to help you conduct your money laundering and terrorism financing risk assessment (risk assessment) under the Anti-Money Laundering and Countering Financing of Terrorism (AML/CFT) Act 2009 (the Act).
    Tags
    AML/CFT, Roles, Reporting entities, Business
    Type
    PDF

  6. 12 October 2022

    AML/CFT Designated Business Group – Scope Guideline

    This guideline is designed to help reporting entities understand which obligations may be shared by members of a designated business group (DBG).
    Tags
    AML/CFT, Roles, Business, Designated Business Group (DBG)
    Type
    PDF, Guidance

  7. 31 January 2012

    AML/CFT Guide for small financial adviser businesses

    This guide is designed to help financial advisers working independently or in a small business comply with their obligations under the Anti-Money Laundering and Countering the Financing of Terrorism Act 2009 (the AML/CFT Act) and associated regulations (together AML/CFT law).
    Tags
    AML/CFT, Financial Adviser, Roles, Business
    Type
    PDF, Guidance

  8. 25 July 2017

    Offering financial products in New Zealand and Australia under mutual recognition (MRSO) regulatory guide

    This is a guide for New Zealand and Australian issuers offering financial products or interests in managed or collective investment schemes in both countries.
    It explains what issuers have to do under the trans-Tasman mutual recognition scheme for offers of financial products.
    This is a joint guide published by the Australian Securities and Investments Commission.
    Tags
    Financial Adviser, Roles, Derivative Issuer, Business
    Type
    PDF, Guidance

  9. 1 December 2012

    Issuers of securities and participants in issues guideline

    This guideline is for businesses registered on the Financial Services Providers Register (FSPR) as an issuer of securities or who participate in issues of securities. If you are either of them, this guideline will help you to determine if you have obligations under the Anti-Money Laundering and Countering the Financing of Terrorism Act 2009 (AML/CFT Act).
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    PDF

  10. 11 July 2012

    AML/CFT Countries assessment guideline

    This guideline is designed to help you decide when you need to undertake this assessment, and how you could go about it. It provides information only and cannot be relied on as evidence of complying with the requirements of the AML/CFT Act.
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    PDF

  11. 18 November 2019

    Audit quality Director's guide 2019

    The Audit Quality Directors Guide 2019 handbook is aimed at directors of FMCreporting entities. It sets out how you, as a director, can contribute to the quality of your audit, as well as what you can expect from the FMA and your auditor.
    Tags
    Directors, Roles, Auditors, Business
    Type
    PDF, Information Sheet

  12. 12 November 2020

    Audit Quality Director's Guide 2020

    The Audit Quality Directors Guide 2020 handbook is aimed at directors of FMCreporting entities. It sets out how you, as a director, can contribute to the quality of your audit, as well as what you can expect from the FMA and your auditor.
    Tags
    Directors, Roles, Auditors, Business
    Type
    PDF, Information Sheet

  13. 1 May 2018

    AML/CFT Risk Assessment Guideline

    This guideline is designed to help you conduct your money laundering and terrorism financing risk assessment (risk assessment) under the Anti-Money Laundering and Countering Financing of Terrorism (AML/CFT) Act 2009 (the Act).
    Tags
    AML/CFT, Roles, Business
    Type
    PDF, Guidance

  15. 31 January 2018

    AML/CFT Guide for small financial adviser businesses

    This guide is designed to help financial advisers working independently or in a small business comply with their obligations under the Anti-Money Laundering and Countering the Financing of Terrorism Act 2009 (the AML/CFT Act) and associated regulations (together AML/CFT law).
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    PDF, Resource