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Found 2522 results. Displaying page 19 of 169

9 July 2020

High Risk Jurisdictions subject Call for Action FATF July2020

FATF describes high-risk jurisdictions subject to a “Call for Action” as having significant strategic deficiencies in their regimes to counter money laundering, terrorist financing, and financing of proliferation. Two countries are on this high-risk list: North Korea and Iran.

Tags

AML/CFT, Roles, Business

Type

PDF
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
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
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
1 October 2019

AMLCFT Audit Guideline

This guidance is to help reporting entities understand the AML/CFT audit (“audit”) requirements in terms of the AntiMoney Laundering and Countering Financing of Terrorism Act 2009 and undertake an effective and credible audit of their risk assessment and AML/CFT programme.

Tags

AML/CFT, Compliance, Roles, Business

Type

PDF, Guidance
1 November 2014

AML/CFT Monitoring Report 2014

The purpose of this report is to help reporting entities (REs) better understand our expectations, and what they can do to improve their systems and processes to comply with the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (the Act) and its supporting regulations. This is our 2014 report.

Tags

AML/CFT, Reports and Papers, Roles, Reporting entities, Business, News & Insights

Type

PDF
16 July 2021

Birth Certicate Redaction Factsheet

The Anti-Money Laundering and Countering the Financing of Terrorism (AML/CFT) Supervisors have produced this factsheet to confirm their position is that certain details may be redacted by a customer from their birth certificate if it is used for identity verification purposes when conducting customer due diligence.

Tags

AML/CFT, Roles, Business

Type

PDF, Fact sheet
12 March 2018

FMA’s media release on 12 March 2018 - OIA response

OIA response to FMA’s media release on 12 March 2018 regarding the five businesses being warned for Anti-Money Laundering/Countering Financing of Terrorism (AML/CFT) failures. Response dated 5 April 2018.

Tags

FMA

Type

PDF, OIA
22 October 2019

ACAMS Conference - OIA response Redacted

OIA response, dated 22 October 2019, which looks into the FMA’s participation in the October 2019 ACAMS Conference (ACAMS Conference) and more generally about the FMA’s anti-money laundering (AML) regulatory resources.

Tags

FMA

Type

PDF, OIA
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
10 May 2024

AML/CFT Customer Due Diligence – Trusts

This guideline is intended to support reporting entities1
to conduct customer due diligence (CDD) under the Anti-Money Laundering and Countering Financing of Terrorism (AML/CFT) Act 2009 (the Act) on their customers who are trusts.

Tags

AML/CFT, Compliance, Obligations, Roles, Business

Type

PDF, Information Sheet
18 November 2020

Common financial terms and what they mean

FMA guide to regularly used financial terms and a brief explanation as to what they mean. The page is particularly useful to novice investors.

Tags

Investing, Article, Consumer, News & Insights

Type

Page
28 November 2022

Cryptocurrencies

Cryptocurrencies are high risk, speculative products that operate differently to traditional investments. Only invest what you can afford to lose and use New Zealand-based platforms to give yourself some level of protection.

Tags

Crypptocurrencies, Consumer

Type

Page
27 July 2015

FMA issues first Stop Order against Green Gardens Finance Trust Ltd

The Financial Markets Authority (FMA) has issued a Stop Order against Green Gardens Finance Trust Limited (GGFT) and warns the public to be wary of doing business or depositing money with this company. Read more.

Tags

Media release, Cases, News & Insights, Enforcement

Type

Page
28 November 2019

Suisse Credit Capital Limited

A Dr. Ryan Praxton who purports to be a representative of Suisse Credit Capital Limited (SCCL) has used false documentation that features the FMA logo and its senior management’s names to solicit money from people.

Tags

Suspected scam, Scams

Type

Page