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  1. 6 March 2014

    Prudential Mortgage Limited

    Prudential Mortgage Limited has been convicted and fined $2,000 for failing to deliver its annual report to the Registrar of Companies by 30 June 2013.
    Tags
    Court – civil, Powers, Enforcement
    Type
    Page

  2. 1 February 2013

    NZ finance company collapses (2006–2012)

    The scale and circumstances of the Finance industry failure since 2006 gave rise to concerns of inappropriate behaviour and breaches of the Securities Act and a programme of investigations into the failures was initiated. Read more.
    Tags
    Enforcement
    Type
    Page

  3. 29 April 2024

    AML/CFT enhanced customer due diligence guideline

    The AML/CFT enhanced customer due diligence guideline assists you to conduct enhanced customer due diligence (EDD) on your customers under the Anti-Money Laundering and Countering Financing of Terrorism (AML/CFT) Act 2009 (the Act).
    Tags
    AML/CFT, Directors, Crowdfunding providers, Cryptocurrencies, Roles, Business, News & Insights
    Type
    Page, Guidance

  4. 29 April 2024

    AML/CFT Enhanced Customer Due Diligence Guideline

    This guideline assists you to conduct enhanced customer due diligence (enhanced CDD) on your customers under the Anti-Money Laundering and Countering Financing of Terrorism (AML/CFT) Act 2009 (the Act). Published October 2022.
    Tags
    AML/CFT, Roles, Compliance, Obligations, Authorised body under a FAP, Client money or property services provider, Crowdfunding providers, Derivative Issuer, Discretionary investment management scheme (DIMS), Business, Managed investment schemes, Peer-to-peer lending service providers, Supervisor
    Type
    PDF, Guidance

  5. 29 April 2024

    Beneficial ownership guideline

    This guideline is to assist reporting entities in meeting the requirement to perform customer due diligence on the customer and beneficial owners of the customer under sections 11-26 of the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (‘the Act’).
    Tags
    Roles, Reporting entities, Authorised body under a FAP, Client money or property services provider, Crowdfunding providers, Derivative Issuer, Discretionary investment management scheme (DIMS), Business, Managed investment schemes, Peer-to-peer lending service providers, Supervisor
    Type
    PDF, Guidance

  6. 13 May 2024

    Guidance Note: For duty holders that are AML/CFT reporting entities

    FMA, DIA and RBNZ – along with their partner agencies – MFAT and NZ Police – have provided a Guidance Note for duty holders that are AML/CFT reporting entities. The Guidance Note specifically relates to notifying a customer of an asset freeze or blocked transaction under the Russia Sanctions Act.
    Tags
    AML/CFT, News, Roles, Authorised body under a FAP, Client money or property services provider, Derivative Issuer, Discretionary investment management scheme (DIMS), Business, Managed investment schemes, News & Insights, Peer-to-peer lending service providers
    Type
    Page, Guidance

  8. 21 July 2022

    Regulatory approach

    We expect all market participants to pursue the objectives and spirit of regulation rather than the letter of the law. We supervise and monitor market participants in line with our statutory objectives. We supervise and monitor market participants in line with our statutory objectives. Where we see misconduct in financial markets, we seek to hold those responsible to account. These pages provide you more information on our regulatory and enforcement approach.
    Tags
    Regulation, Regulatory cooperation, Business, FMA
    Type
    Page

  9. 22 January 2024

    Independent trustees

    You'll need a licence if you are appointed as an independent trustee of a restricted KiwiSaver scheme or a workplace superannuation or legacy scheme. Every restricted managed investment scheme must have at least one licensed independent trustee. See more about the licensing and registration and compliance obligations of independent trustees on this page.
    Tags
    Compliance, Independent trustee, Roles, Obligations, Licensing & registration, Business
    Type
    Page

  10. 9 August 2023

    KiwiSaver default funds

    The New Zealand Government has recently announced new providers of KiwiSaver default funds, to enhance the financial wellbeing of default KiwiSaver members in retirement. See more information from the Ministry of Business, Innovation and Employment (MBIE) on this page.
    Tags
    Consumer
    Type
    Page

  11. 30 May 2024

    Financial Advice Provider Monitoring Insights

    Findings from the FMA’s supervision activities and monitoring of Class 1 and 2 licensed financial advice providers
    Tags
    Authorised body under a FAP, Financial Advice Provider, Financial Adviser, Reports and Papers, Roles, Business, News & Insights, Nominated representatives
    Type
    PDF

  12. 30 May 2024

    Financial Advice Provider Monitoring Insights

    Findings from the FMA’s supervision activities and monitoring of Class 1 and 2 licensed financial advice providers
    Tags
    Reports and Papers, Authorised body under a FAP, Financial Advice Provider, Financial Adviser, Roles, Business, News & Insights, Nominated representatives
    Type
    Page

  13. 11 June 2024

    FMA opens consultation on proposed standard conditions for Derivatives Issuers

    The FMA is seeking feedback on potential changes to the standard conditions imposed on Derivative Issuer (DI) licences. The changes relate to leverage and the suitability of investors for derivative trading.
    Tags
    Media release, Derivative Issuer, Consultations, Roles, Compliance, Business, News & Insights
    Type
    Page

  14. 24 June 2024

    Spotlight on: Balanced Funds

    The FMA editorial team talks about managed funds in this article. “A balanced fund usually has moderate risk, so you’re not risking as much uncertainty of achieving your investing goals or as much potential for loss by being in one. But remember to check your fund type is still good for your situation – if you’re getting closer to retirement or buying that first home, it’s time to start thinking about a more conservative fund.”
    Tags
    KiwiSaver & Superannuation, Article, Consumer, News & Insights
    Type
    Page

  15. 4 March 2020

    Derivatives

    Derivatives are complex financial instruments, and trading them is not a suitable ‘investment’ for most consumers. They are designed to track the value of something without the need to actually buy or sell that underlying thing and are used by professionals to manage risk or to speculate. Learn more about the risks and returns of investing in derivatives here.
    Tags
    Derivatives, Ways to invest, Investing, Consumer
    Type
    Page