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Found 2524 results. Displaying page 103 of 169

  1. 15 February 2019

    Gifts and Hospitality since 2013 - OIA response

    OIA response, dated 15 Feb 2019, requesting information surrounding any gifts and hospitality given to FMA staff by private organisations since 2013.
    Tags
    FMA
    Type
    PDF, OIA

  3. 25 February 2022

    CoFR agencies - OIA request

    OIA request response regarding information discussed by CoFR regarding the Credit Contracts and Consumer Finance Act (CCCFA).
    Tags
    Type
    PDF, OIA

  7. 15 October 2020

    AML warnings - OIA request

    OIA response, dated 15 October 2020, looking at the total number of non-public formal warnings issued until June 2020 and he calendar or reporting years in which these were issued
    Tags
    FMA
    Type
    PDF, OIA

  9. 30 August 2023

    Gold Wise – Imposter website

    Gold Wise offers forex and cryptocurrency investments but it is not registered to provide financial services in New Zealand.
    Tags
    Imposter website, Investor warning, Consumer, Scams
    Type
    Page

  10. 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

  11. 30 November 2022

    Fair conduct programmes

    Information and examples to help banks, insurers and NBDTs establish, implement and maintain their fair conduct programmes as part of their financial institution licence obligations.
    Tags
    Banking, Insurance Providers, Financial Institutions, Business
    Type
    Page, Guidance

  12. 28 July 2022

    Integrated financial products: Review of managed fund documentation

    Findings from a Financial Markets Authority review of the effectiveness of disclosure information from a sample of managed investment funds labelled or marketed as being integrated financial products (e.g. sustainable, ethical, green)
    Tags
    Ethical finance, Roles, Reports and Papers, Business, Managed investment schemes, News & Insights, Supervisor
    Type
    Page

  13. 16 July 2021

    Amended Identity Verification Code of Practice 2013

    AML/CFT amended identity verification code of practice 2013 provides a suggested best practice for all reporting entities conducting name and date of birth identity verification on customers (that are natural persons).
    Complying with a code of practice is not mandatory, although it constitutes a safe harbour. If a reporting entity fully complies with the code it is deemed to be compliant with the relevant parts of the Act. If a reporting entity opts out of the code, it must inform its supervisor and must adopt practices that are equally effective, otherwise, it risks non-compliance.
    Tags
    AML/CFT, Roles, Business
    Type
    Page, Guidance

  14. 26 July 2019

    AML/CFT customer due diligence: co-operatives

    A co-operative is a form of business organisation that is owned and controlled by its shareholders or members, and run for their mutual benefit. The AML/CFT customer due diligence: co-operatives fact sheet may be useful when considering customers who are mutual organisations or friendly societies.
    Tags
    AML/CFT, Roles, Business
    Type
    Page, Guidance

  15. 30 May 2018

    Compliance Assurance Programmes

    The Compliance Assurance Programmes information sheet is for entities holding or applying for a licence under the Financial Markets Conduct Act 2013, and anyone involved in the creation, implementation and ongoing operation of a compliance assurance programme.
    Tags
    Crowdfunding providers, Directors, Cryptocurrencies, Roles, Legislation, Derivative Issuer, Discretionary investment management scheme (DIMS), Business, Peer-to-peer lending service providers
    Type
    Page, Guidance