Back

Search results

Found 1596 results. Displaying page 63 of 107

  1. 30 April 2014

    Investor experience of IPOs survey

    An online survey of 303 New Zealanders who invested in or seriously considered investing in a recent IPO was conducted to provide an overview of the IPO experience.
    Tags
    Offer information, Roles, Reports and Papers, Business, Market operator
    Type
    Page, Surveys

  2. 30 November 2015

    Auditor regulation survey 2015

    See the results of the audit survey conducted in 2015. The survey focused on the effectiveness of Audit quality since the introduction of the Act and if NZ auditor oversight regime is of the same standard as in other jurisdictions.
    Tags
    Auditors, Regulation, Roles, Reports and Papers, Business
    Type
    Page, Surveys

  3. 5 December 2013

    FMA Progress Review - Stakeholder Feedback Report

    This report is the result of a review conducted by Oliver Wyman focusing on stakeholder perspectives on achievements, short-comings and future priorities for New Zealand’s Financial Markets Authority.
    Tags
    Reports and Papers, FMA, News & Insights
    Type
    Page

  4. 16 July 2021

    Birth Certificates with Redacted Information

    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, Client money or property services provider, Compliance, Crowdfunding providers, Cryptocurrencies, Financial Adviser, Independent trustee, Obligations, Roles, Business, Supervisor
    Type
    Page, Guidance

  5. 16 November 2011

    FMA consults on auditor licensing and audit firm registration

    The Financial Markets Authority has published on its website a report written by management consultants Oliver Wyman detailing the findings of local stakeholder research. The research was conducted at the point FMA was established earlier in 2011.
    Tags
    Auditors, Media release, Roles, Business, News & Insights
    Type
    Page

  6. 29 May 2017

    Investor Confidence Survey 2017

    The FMA carried out investor research measuring attitudes
    towards, and investment in New Zealand’s financial markets. The survey was conducted by Colmar Brunton in 2017.
    Tags
    Reports and Papers, Investor capability, FMA, News & Insights
    Type
    PDF, Research

  7. 2 August 2021

    Retail Investor Platforms Research

    The objectives of the research were to understand the type of profile of investors in retail platforms; their risks and behaviours within these platforms and motivations and influences that brought them to where they are. The research was conducted by Colmar Brunton in July 2021
    Tags
    Business, FMA
    Type
    PDF, Research

  8. 1 September 2015

    FMA and CFFC survey of NZers aged 50 years plus

    This survey looks at older New Zealanders’ expectations for and experiences of retirement. The research was conducted among those aged 50 years and over, and includes the views of those who are nearing retirement and those who have already retired.
    Tags
    Reports and Papers, Roles, KiwiSaver providers, Business, Managed investment schemes, News & Insights, Supervisor
    Type
    Page, Research

  10. 1 November 2021

    Self assessment tool key outsourcing arrangements

    As a small business, we expect you’ll need to outsource some functions to third parties. It’s important that you protect your reputation and your clients by conducting robust background checks, putting contractual agreements in place, and performing regular reviews to ensure suppliers of key functions are up to the task and can meet your expectations and Financial Advice Provider (FAP) obligations. As a FAP, you remain responsible for any functions that you outsource.
    Tags
    Authorised body under a FAP, Financial Advice Provider, Roles, Business
    Type
    PDF, Information Sheet

  11. 1 December 2013

    Identity Verification Code of Practice

    Identity Verification Code of Practice provides a suggested best practice for all reporting entities conducting name and date of birth identity verification on customers (that are natural persons) they have assessed to be low to medium risk.

    Tags
    AML/CFT, Roles, Business
    Type
    Page, Guidance

  12. 17 November 2011

    FMA releases results of stakeholder research findings

    FMA has published on its website a report written by management consultants Oliver Wyman detailing the findings of local stakeholder research. The research was conducted at the point FMA was established earlier in 2011.
    Tags
    Media release, News & Insights
    Type
    Page

  13. 16 July 2021

    Amended Identity Verification Code of Practice 2013

    This code of practice provides a suggested best practice for all reporting entities conducting name and date of birth identity verification on customers (that are natural persons) that have been assessed to be low to medium risk. Identification involves obtaining from the customer a range of information about him or her (“identity information”). Verification involves confirming some of that information against documents, data or information obtained from a reliable and independent source.
    Tags
    AML/CFT, Compliance, Roles, Reporting entities, Business
    Type
    PDF

  14. 1 December 2017

    AML/CFT interpreting ordinary course of business guideline

    This guideline is designed to help clarify the meaning of the phrase “in the ordinary course of business”. The meaning of this phrase is important if your business conducts one (or more) of the activities listed under the definitions of financial
    institution”, “designated non-financial business or profession”, and “high-value dealer” in the Anti-Money Laundering and Countering Financing of Terrorism Act
    2009 (AML/CFT Act).
    Tags
    AML/CFT, Roles, Business
    Type
    PDF, Guidance

  15. 9 November 2012

    Stakeholder survey – Final report 2012

    The FMA conducts an annual survey to establish how our stakeholders rate our performance. This is the 2012 report.
    Tags
    Reports and Papers, FMA, News & Insights
    Type
    PDF, Research