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  1. 28 February 2024

    Top Right Limited

    Top Right Limited, FSP1004314 is an AML reporting entity.
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  2. 28 February 2024

    TMK 1 Limited

    TMK 1 Limited, FSP767913 is an AML reporting entity.
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  3. 28 February 2024

    Auditors

    Auditor regulation and oversight helps to ensure the businesses we regulate (known as FMC reporting entities) have access to competent auditors, and these audits (known as FMC audits) are of a high standard. This page explains who needs to comply with the FMA, licensing and registration requirements, costs, levies and waivers, obligations, along with a number of important guidance documents and reports that are relevant to Auditors in New Zealand.
    Tags
    Auditors, Obligations, Licensing & registration, Roles, Directors, Business
    Type
    Page

  4. 28 February 2024

    Wongeoon Vast Limited

    Wongeoon Vast Limited, FSP1001542 is an AML reporting entity.
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  5. 28 February 2024

    YG General Limited

    YG General Limited, FSP705651 is an AML reporting entity.
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  6. 28 February 2024

    Uwin Capital Limited

    Uwin Capital Limited, FSP479846 is an AML reporting entity.
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  7. 27 February 2024

    Monitoring of licensed Financial Advice Providers information sheet

    The Monitoring of licensed Financial Advice Provider (FAP) information sheet explains how we carry out monitoring activities, what we expect of you, and what you can expect from us.
    Tags
    Financial Advice Provider, Roles, Business
    Type
    PDF, Information Sheet

  10. 26 February 2024

    Declaration form - senior managers DIR11

    A statutory declaration is required by senior managers when applying for a licence to operate from the FMA. This form should be accompanied with your licence application.
    Tags
    Directors, Roles, Business
    Type
    PDF, Declaration form

  11. 23 February 2024

    Climate related disclosure levies

    Information regarding levies for climate related disclosures.
    Tags
    Climate related disclosure, Authorised body under a FAP, Banking, Insurance Providers, Financial Institutions, Roles, Climate Reporting Entities, Business, Supervisor
    Type
    PDF

  12. 20 February 2024

    ARMILLARY CORPORATE TRUSTEE NO2. LTD

    ARMILLARY CORPORATE TRUSTEE NO2. LTD is an AML reporting entity
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  13. 19 February 2024

    Licensing Application Guide - Financial Services PART A

    To apply for a market service licence you need to read both PART A and PART B of our licensing application guide. PART A: (this guide) provides general guidance about the licensing process. This includes information about who needs a licence, how to login to the application portal and how to create a RealMe identity, if you don’t already have one (you’ll need one before you can apply).
    Tags
    Crowdfunding providers, Derivative Issuer, Independent trustee, Licence guide, Roles, Licensing & registration, Business, Managed investment schemes
    Type
    PDF

  14. 16 February 2024

    Riseup Trade – Suspected scam

    The FMA considers Forex a derivative. Entities offering derivative services in New Zealand are required to hold a derivatives issuer licence. Riseup Trade does not hold this type of licence, nor is it registered on the Financial Service Providers Register.
    Tags
    Derivative Issuer, Suspected scam, Derivatives, Roles, Business, Consumer, Scams
    Type
    Page