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  4. 23 August 2023

    FMA acknowledges guilty verdict in Pushpay insider trading case

    FMA acknowledges today’s guilty verdict in the criminal trial of an individual accused of insider conduct in relation to the sale of shares in Pushpay Holdings Limited.
    Tags
    Media release, Insider trading, News & Insights, Enforcement
    Type
    Page

  5. 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

  6. 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

  8. 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

  9. 2 February 2017

    A guide to the FMA's view of conduct

    A guide to FMA's view of conduct guide describes why good conduct matters and how high standards of conduct support fair, efficient and transparent markets. This handbook is intended as a reference for directors, executives and advisers to decide how best to apply the principles for corporate governance to their particular entity.
    Tags
    Derivative Issuer, Conduct, Independent trustee, Financial Advice Provider, Offer disclosure for equity and debt offers, Discretionary investment management scheme (DIMS), Cryptocurrencies, Crowdfunding providers, Authorised body under a FAP, Auditors, Roles, Financial Adviser, Directors, Client money or property services provider, Business, Interposed persons under new financial advice regime, Managed investment schemes, Market operator, Peer-to-peer lending service providers, Supervisor, Nominated representatives
    Type
    Page, Guidance

  10. 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

  11. 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

  12. 16 January 2012

    AML/CFT guide for small financial adviser businesses

    The AML/CFT guide for small financial adviser businesses 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, Roles, Business
    Type
    Page, Guidance

  13. 14 May 2018

    AML/CFT risk assessment guideline

    The AML/CFT risk assessment guideline was updated in 2018 and is designed to help reporting entities conduct a risk assessment, as required under section 58 of the Anti-Money Laundering and Countering Financing of Terrorism Act.
    Tags
    AML/CFT, Roles, Business
    Type
    Page, Guidance

  14. 1 October 2018

    Class exemptions for managing intermediaries

    Class exemptions for managing intermediaries information sheet explains the conditions for reporting entities whose customers include managing intermediaries and customers of managing intermediaries to be able to rely on the Anti-Money Laundering and Countering Financing of Terrorism (Class Exemptions) Notice 2018.
    Tags
    AML/CFT, Roles, Financial Advice Provider, Business
    Type
    Page, Guidance

  15. 11 July 2019

    Cyber-resilience in FMA-regulated financial services guidance

    Cyber-resilience in FMA-regulated financial services report summarises the findings of our thematic review of cyber-resilience in New Zealand financial services and provides guidance for firms in areas where we have identified the need for improvement. It will be useful for our regulated sectors, to help ensure they comply with our expectations and best practice.
    Tags
    Derivative Issuer, Crowdfunding Service Provider, Financial Adviser, Financial Advice Provider, Offer disclosure for equity and debt offers, Discretionary investment management scheme (DIMS), Cryptocurrencies, Client money or property services provider, Authorised body under a FAP, Roles, Directors, Crowdfunding providers, Business, Interposed persons under new financial advice regime, FMA, Managed investment schemes, Market operator, Peer-to-peer lending service providers, Supervisor, Nominated representatives
    Type
    Page, Guidance