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Found 2525 results. Displaying page 19 of 169

  1. 12 November 2018

    Oxford Finance Services

    Oxford Finance Services could be involved in a scam. It is not associated with New Zealand registered Gilrose Finance Company Limited and Oxford Finance Limited as claimed on their website.
    Tags
    Suspected scam, Scams
    Type
    Page

  3. 10 October 2022

    Ethical investing

    Ethical investing, responsible investing, green finance, sustainable investing, social investing, ESG. Whatever you call it, many of us are keen to align our investment choices to our values. But before you jump in because an investment claims to be ‘ethical’, take a deeper look at what you’re investing in and other factors you may need to consider.
    Tags
    Bonds, Ways to invest, Investing, Consumer
    Type
    Page

  4. 1 April 2019

    AML/CFT Annual Monitoring Report 2018

    This report summarises our monitoring activities from 1 July 2016 to 30 June 2018, to help reporting entities 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 and its supporting regulations.
    Tags
    AML/CFT, Monitoring, Reports and Papers, Roles, Reporting entities, Business, News & Insights
    Type
    PDF

  5. 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

  6. 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

  7. 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

  8. 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

  9. 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

  10. 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

  11. 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. 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

  13. 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

  14. 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

  15. 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