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  1. 13 December 2021

    AMP FSNZ DBG

    AMP FSNZ DBG including: AMP Services (NZ) Limited, AMP Wealth Management New Zealand Ltd, and Advicefirst Limited
    Tags
    AML/CFT, Roles, Reporting entities, Business, Designated Business Group (DBG)
    Type
    Page

  2. 10 December 2021

    Outsourcing CDD to a third party provider Reminder to FMA and DIA reporting entities

    While third-party providers can provide a useful service, both the DIA and FMA are aware of an increasing number of reporting entities taking a view that the third-party provider “just takes care of it all” and that all CDD requirements are then met. This is not the case. Read more about outsourcing your CDD requirments.
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    PDF

  3. 10 December 2021

    Outsourcing CDD to a third-party provider

    Section 34 of the AML/CFT Act allows a reporting entity to authorise and rely on an agent to conduct CDD procedures on its behalf. An agent is a person that has legal authority to represent another party. If you outsource the above CDD procedures under section 34 to a third-party provider, the provider must be acting as your agent. In these circumstances, you remain responsible for ensuring that the CDD conducted by the third-party provider is undertaken to the level required by the AML/CFT Act. Read the full guidance on this page.
    Tags
    AML/CFT, Client money or property services provider, Crowdfunding providers, Cryptocurrencies, Financial Adviser, Roles, Business
    Type
    Page, Guidance

  4. 9 December 2021

    Hillfarrance GP Limited

    Hillfarrance GP Limited is an AML/CFT reporting entity
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  5. 9 December 2021

    AxiCorp licence suspension lifted

    The Financial Markets Authority (FMA) - Te Mana Tātai Hokohoko has lifted the suspension on the derivatives issuer licence of AxiCorp Financial Services Pty Limited (trading as AxiTrader), effective as of 2 December 2021.
    Tags
    Derivative Issuer, Enforceable action, Roles, Media release, Business, News & Insights, Enforcement
    Type
    Page

  8. 7 December 2021

    AML/CFT risk ratings confirmed for sectors under FMA supervision

    A new report by the Financial Markets Authority (FMA) - Te Mana Tātai Hokohoko - has found that derivatives issuers (DI’s) and cryptocurrency service providers are in the high risk category for meeting anti-money laundering and counter-terrorism financing obligations.
    Tags
    AML/CFT, Roles, Reporting entities, Cryptocurrencies, Media release, Business, News & Insights
    Type
    Page

  9. 7 December 2021

    AML/CFT - Sector Risk Assessment

    Our AML/CFT SRA 2021 is an important document that provides general information and specific examples to assist reporting entities (REs) in the ten sectors we supervise for anti-money laundering and countering the financing of terrorism (AML/CFT). It will assist REs to prepare and review their individual assessments of the risks of AML/CFT under sections 58 and 59 of the AML/CFT Act.
    Tags
    AML/CFT, Roles, Reporting entities, Reports and Papers, Business
    Type
    Page, Report

  10. 6 December 2021

    AML/CFT Sector Risk Assessment 2021

    Our Sector Risk Assessment (SRA) helps us and the Reporting Entities we supervise understand the risks of money-laundering
    (ML) and terrorism financing (TF) in each sector. This SRA
    replaces our SRA published in 2017.
    Tags
    AML/CFT, Reports and Papers, Roles, Reporting entities, Business, News & Insights
    Type
    PDF

  11. 3 December 2021

    Silver Harbour Capital Limited

    Silver Harbour Capital Limited (FSP771198) is an AML reporting entity
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  12. 3 December 2021

    FMA releases CPA Australia and NZICA accredited body reports

    FMA has published its annual accredited body reports for CPA Australia and the New Zealand Institute of Chartered Accountants (NZICA), 2021.
    Tags
    Auditors, Roles, Media release, Business, Accredited bodies, News & Insights
    Type
    Page

  14. 1 December 2021

    Accredited Body Report - CPA Australia 2021

    Findings from the FMA’s review of the adequacy and
    effectiveness of CPA Australia’s audit regulatory systems for
    the period 1 July 2020 to 30 June 2021
    Tags
    Reports and Papers, Auditors, Roles, Business, News & Insights
    Type
    PDF

  15. 1 December 2021

    Financial Markets Authority Efficiency, effectiveness and baseline review

    The purposes of this Review are to provide assurance regarding the extent to which the FMA is focused on the right activities in support of its main statutory objectives and the
    extent to which resources are efficiently and effectively directed to these ends. The Review is also
    aimed at identifying opportunities for improving organisational performance. The report was produced by PwC for the FMA.
    Tags
    Obligations, Reports and Papers, Business, FMA, News & Insights
    Type
    PDF