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  1. 1 October 2014

    Getting the best outcome from your AMLCFT Audit

    This information is intended to help our REs, especially small financial adviser businesses, get value from their AML/CFT Audit. Adopting all (or any) of these items in discussions with auditors is optional, but we believe that by considering these suggestions, REs are more likely to achieve the best possible results from their audit.
    Tags
    AML/CFT, Roles, Reporting entities, Business
    Type
    PDF

  2. 15 February 2013

    consultation paper financial advisers australian licensee notice

    The Financial Markets Authority (FMA, or we) are reviewing the Financial Advisers (Australian Licensees) Exemption Notice 2011 (Financial Advisers (Australian Licensees) notice) which expires on 30 June 2013.
    FMA is keen to hear the views of Australian financial service licence holders who are relying on the Financial Advisers (Australian Licensees) notice and selected stakeholders to determine whether or not to renew the exemption.
    Tags
    Financial Adviser, Consultations, Roles, Business
    Type
    PDF

  4. 16 December 2020

    Complying with the prohibition on the notice of trusts on registers

    This information sheet explains the FMA’s expectations in regards to how issuers of regulated products can comply with the prohibition on the notice of trusts being entered on the register that is required to be kept by the issuer.
    Tags
    Compliance, Derivative Issuer, Offer disclosure for equity and debt offers, Roles, Business
    Type
    PDF, Information Sheet

  5. 19 February 2018

    Conduct Outcomes Report 2017

    The Conduct Outcomes Report outlines how we responded to the areas of misconduct we saw during 2017.
    It covers our enforcement action, monitoring and supervision work, and our activities to address risks and harms on our regulatory perimeter. It also includes good practice suggestions for licensed financial service providers, and sets out where we will focus our energies in 2018.
    Tags
    Financial Advice Provider, Supervisor, Monitoring, Roles, Business, Enforcement
    Type
    PDF

  6. 11 July 2019

    KiwiSaver Fees Comparison Report 2019

    The purpose of this report is to report our findings on comparing the KiwiSaver fees with fees for UK Contract Based superannuation schemes.
    Tags
    Reports and Papers, Roles, KiwiSaver providers, Supervisor, Managed investment schemes, Business, News & Insights
    Type
    PDF

  7. 1 July 2016

    AML CFT How to complete your annual CFT user guide 1

    This user guide is designed to help financial advisers to complete their annual AML/CFT report (annual
    report) quickly and easily. It clarifies the questions in the report template that may be open to interpretation and identifies questions that are unlikely to be relevant to small financial adviser businesses. It does not include the questions that don’t need explanation. This guide is current for 2016.
    Tags
    AML/CFT, Roles, Business
    Type
    PDF, Resource

  10. 13 September 2021

    OIAP Law Commission submission

    OIAP response dated 13 September 2021, Law Commission submission - Request regarding a submission to Law Commission review into class actions and litigation funding
    Tags
    Type
    PDF, OIA

  11. 2 June 2017

    Amendment Notice 2017 FMC Shares in Investment Companies Designation

    The amendment notice amends the Financial Markets Conduct (Shares in Investment Companies) Designation Notice 2017 which came into force on the 19 May 2017. The notice declares that certain shares in investment companies are managed investment products rather than equity securities for the purposes of the FMC Act, but the princepal notice does not apply to shares that are NZX Main Board shares.
    Tags
    FMC Act, Legislation, Business
    Type
    PDF, Notice