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Found 1870 results. Displaying page 12 of 125

  1. 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

  2. 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

  3. 12 March 2015

    MSL Capital Markets Limited

    We issued a formal warning to MSL for failing to perform its audit of its AML/CFT risk assessment and AML/CFT programme by 31 October 2014 and to provide a copy of the audit report to us.
    Tags
    AML/CFT, Enforceable action, Roles, Formal warning, AML/CFT formal warning, Powers, Business, Enforcement
    Type
    Page

  4. 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

  5. 18 June 2014

    Licensing guide - small DIMS businesses

    This guide supplements our main licensing application guide. It outlines how a small business providing lower risk Discretionary Investment Management Services (DIMS) can approach an
    application for a DIMS licence under the Financial Markets Conduct Act 2013 (FMC Act).
    Tags
    Discretionary investment management scheme (DIMS), Licence guide, Roles, Licensing & registration, Business
    Type
    PDF

  6. 13 December 2021

    APEX Group DBG

    APEX Group DBG including: Apex Advice Group Ltd, Apex Insurance Brokers Ltd, Apex Waikato Ltd, Apex Christchurch Limited, and Apex Risk Management Limited.
    Tags
    AML/CFT, Roles, Designated Business Group (DBG), Business
    Type
    Page

  7. 28 July 2010

    Issuers Could Improve Corporate Governance Reporting

    The Securities Commission's latest review of corporate governance reporting shows that while most issuers are doing well, many need to improve their disclosures when it comes to ethical standards, directors and executive's remuneration, risk management, and shareholder and stakeholder relations.
    Tags
    Media release, News & Insights
    Type
    Page

  8. 31 March 2011

    D-day for Financial Advisers

    From 1 April, all financial advisers, or the companies they work for, have to be registered on the online Financial Service Providers Register, www.fspr.govt.nz. Advisers who should be on the register, but aren't risk hefty penalties.
    Tags
    Media release, News & Insights
    Type
    Page

  9. 18 January 2023

    FMA appoints Stuart Johnson to new Chief Economist role

    We have appointed Stuart Johnson to the newly created role of Chief Economist. Stuart joins the FMA from London, UK, where he has been Head of Behavioural Economics, Conduct Risk and Customer Experience, at major international banking and insurance firms since 2015.
    Tags
    Media release, News & Insights
    Type
    Page

  10. 18 June 2014

    Quick guide to licence applications for small businesses providing DIMS

    Quick guide to licence applications for small businesses providing DIMS supplements our main licensing application guide. It outlines how a small business providing lower risk Discretionary Investment Management Services (DIMS) can approach an application for a DIMS licence under the Financial Markets Conduct Act 2013 (FMC Act)..
    Tags
    Discretionary investment management scheme (DIMS), Licensing & registration, Roles, Business
    Type
    Page, Guidance

  11. 19 February 2015

    FMA DIMS seminar presentation

    The Christchurch DIMS Seminar powerpoint provides information about: What is a DIMS; when is it DIMS; when it's not DIMS; an example of DIMS; types of DIMS; contingency DIMS requirements, client agreements, investment authorities, what AFAs should do; DIMS that aren't Contingency DIMS; what is considered personalised or Class?,; decisions for AFAs currently authorised for DIMS; licensing action; tips and fees.
    Tags
    Discretionary investment management scheme (DIMS), Roles, Business
    Type
    Page, Guidance

  12. 16 October 2022

    Climate risks and the impact on financial statement audits

    This document provides clarity for auditors about the expectations for information about climate risks in audit files.
    Tags
    Climate related disclosure, Auditors, Roles, Ethical finance, Authorised body under a FAP, Climate Reporting Entities, Business, Managed investment schemes, Supervisor
    Type
    Page, Guidance

  14. 12 April 2013

    FMA completes review of Mighty River Power offer document

    The Financial Markets Authority has completed its review of the Mighty River Power share offer document and is satisfied that it contains the information potential investors need to make an informed decision.
    Tags
    Media release, News & Insights
    Type
    Page