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  1. 30 November 2022

    Fair conduct programmes

    Information and examples to help banks, insurers and NBDTs establish, implement and maintain their fair conduct programmes as part of their financial institution licence obligations.
    Tags
    Banking, Insurance Providers, Financial Institutions, Business
    Type
    Page, Guidance

  3. 23 November 2022

    FMC Act exemptions

    List of Markets Conduct Act exemptions.
    Tags
    Exemptions, Secondary legislation, Business
    Type
    Page

  6. 22 November 2022

    Consultation: Potential changes to the assurance requirement in the climate-related disclosures regime

    Consultation closed: The Ministry of Business, Innovation and Employment (MBIE) and the Ministry for the Environment (MfE) have opened consultation on potential changes to the assurance requirement in the climate-related disclosures regime.
    Tags
    Consultations, Climate related disclosure, Ethical finance, Authorised body under a FAP, Financial Institutions, Roles, Business, Managed investment schemes
    Type
    Page

  7. 18 November 2022

    Stonewood Key Management Limited

    Stonewood Key Management Limited is an AML reporting entity
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  8. 17 November 2022

    Anchorage Trustee Services Limited

    Anchorage Trustee Services Limited, FSP146324, is licensed by the FMA as Supervisor.
    Tags
    Roles, Licensed entity, Business, Supervisor
    Type
    Page

  9. 17 November 2022

    Supervisor licence Anchorage Trustee Services Limited

    This is to certify that Anchorage Trustee Services Limited FSP 146324 is licensed under section 16(1) of the Financial markets Supervisors Act 2011 to act as a statutory supervisor in respect of any retirement village. Licence effective from 17 November 2022 and expires on 16 November 2027
    Tags
    Licence, Roles, Licensing & registration, Business, Supervisor
    Type
    PDF

  10. 16 November 2022

    FMA finds continuing improvements to audit quality

    FMA releases Audit Quality Monitoring Report for 2021/22, Findings show that audit firms have improved their record keeping.
    Tags
    Auditors, Media release, Reports and Papers, Roles, Directors, Business, News & Insights
    Type
    Page

  11. 16 November 2022

    Audit Quality Monitoring Report 2022

    The Audit Quality Monitoring Report for 1 July 2021 – 30 June 2022. This this year’s report emphasises that high-quality audits are vital to ensuring investors can make active choices based on clear, concise, and effective information.
    Tags
    Auditors, Reports and Papers, Roles, Business, News & Insights
    Type
    PDF, Report

  12. 24 November 2023

    Audit Quality Monitoring Report

    The Audit Quality Monitoring Report 2023 emphasises that high-quality audits are vital to ensuring investors can make active choices based on clear, concise, and effective information.
    Tags
    Auditors, Roles, Directors, Reports and Papers, Business
    Type
    Page, Report

  13. 9 November 2022

    Monitoring of licensed Financial Advice Providers (FAPs)

    The Monitoring of licensed Financial Advice Providers 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
    Page, Guidance

  14. 7 November 2022

    Precinct Properties Management Limited

    Precinct Properties Management Limited, FSP1003283 is an AML reporting entity.
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  15. 1 November 2022

    Du Val Mortgage Fund Limited Partnership

    Du Val Mortgage Fund Limited Partnership (FSP1000594) is an AML/CFT reporting entity
    Tags
    AML/CFT, Roles, Reporting entities, Business
    Type
    Page