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  1. 31 July 2023

    Financial market infrastructures

    Financial market infrastructures (FMIs) provide channels through which payments, securities, derivatives or other financial transactions are cleared, settled or recorded. Well-functioning and efficient FMIs play a critical role in promoting financial stability and economic growth. Read more about Financial Market Infrastructures (FMI) on this page.
    Tags
    Compliance, Financial market infrastructures, Roles, Business
    Type
    Page

  2. 5 August 2021

    Retail investor platforms research

    Research commissioned by the Financial Markets Authority to learn more about the use of online investing platforms, including investor profiles and behaviours.
    Tags
    Roles, Reports and Papers, Business, FMA, News & Insights
    Type
    Page, Research

  3. 30 September 2021

    AML/CFT Monitoring Report

    AML/CFT Monitoring Report summarises the FMA's monitoring activities to help firms and individuals better understand our expectations.
    Tags
    AML/CFT, Compliance, Directors, Roles, Reporting entities, Reports and Papers, Business, News & Insights
    Type
    Page, Report

  4. 9 July 2021

    AML/CFT regulations update 2021

    New Zealand’s Anti-Money Laundering and Countering Financing of Terrorism (AML/CFT) system is intended to adapt as money laundering and terrorism financing risks evolve. Two regulations, that are a key part of the AML/CFT system, were due to expire. These are the AML/CFT (Exemptions) Regulations 2011 which were scheduled to expire on 30 June 2020, and the AML/CFT (Definitions) Regulations 2011 which partially expire on 27 July 2021. This document sets out the changes and updates made for these regulations. These changes come into force 9 July 2021.
    Tags
    AML/CFT, Regulation updates, Roles, Business, Nominated representatives
    Type
    Page, Guidance

  5. 29 September 2023

    FMA consults on proposed liquidity risk management guidance

    FMA has released proposed guidance for Managed Investment Scheme (MIS) managers and their supervisors for effective liquidity risk management (LRM).
    Tags
    Media release, Supervisors, Roles, Business, Managed investment schemes, News & Insights
    Type
    Page

  7. 13 July 2015

    David John Hobbs and Jacqueline Hobbs

    The Financial Markets Authority (FMA) has accepted enforceable undertakings from David John Hobbs and Jacqueline Hobbs, limiting their activities in New Zealand’s financial markets. Read more.
    Tags
    Enforceable undertaking, Powers, Enforcement
    Type
    Page