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Found 2480 results. Displaying page 113 of 166

  1. 5 November 2019

    Declaration - Supervisors licence TRU2.1

    This is a supporting information checklist and statutory declaration for licensing under section 16 of the Financial Markets Supervisors Act 201l.
    Tags
    Roles, Business, Supervisor
    Type
    PDF, Declaration form

  2. 4 November 2019

    Peter James WANNAN

    Peter James WANNAN, FSP91022, is an AML reporting entity supervised by the FMA.
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  3. 1 November 2019

    A guide to understanding auditing and assurance 2019

    A guide to understanding auditing and assurance: FMC Reporting Entities in New Zealand explains in plain language the value and purpose of auditing and assurance. This will
    assist shareholders, investors and other readers of financial statements who are not experts in auditing and assurance to better understand the messages from the entity’s auditor and make use of this information in their decision making
    Tags
    Auditors, Crowdfunding providers, Derivative Issuer, Discretionary investment management scheme (DIMS), Independent trustee, Peer-to-peer lending service providers, Roles, Business
    Type
    PDF

  4. 31 October 2019

    Supervisor Licensing guidance

    This guidance note is for anyone applying: for a licence to be a supervisor, or to replace an expiring supervisor licence, or to vary an existing supervisor licence.
    Tags
    Licensing & registration, Roles, Business, Supervisor
    Type
    PDF, Guidance

  5. 25 October 2019

    Acting on behalf of a customer fact sheet

    A reporting entity is required to verify the identity of persons acting on behalf of a customer and is also required to verify that they have appropriate authority to act on behalf of the customer.
    Tags
    AML/CFT, Roles, Reporting entities, Business
    Type
    PDF

  6. 25 October 2019

    AML/CFT - interpretation of a trust as a customer

    The following is a response made by the AML/CFT supervisors to a query questioning whether a trust can be a customer for the Act’s purposes. This clarification is supplemental to the Trusts Fact Sheet:
    Tags
    AML/CFT, Roles, Business
    Type
    PDF, Fact sheet

  7. 18 October 2019

    BL Global Markets Limited

    SUSPENDED by the FMA: Global markets Limited, FSP703051 (previously FSP414426), derivatives issuer licence.
    Tags
    Derivative Issuer, Licensed entity, Roles, Reporting entities, Business
    Type
    Page

  8. 18 October 2019

    Circle Markets Limited

    FMA has issued a formal warning to a non-licensed derivatives issuer and forex provider, Circle Markets Limited, under the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (AML/CFT).
    Tags
    AML/CFT, Derivative Issuer, Roles, Business, Enforcement
    Type
    Page

  9. 18 October 2019

    FMA issues AML/CFT warning to Circle Markets Limited

    The Financial Markets Authority (FMA) has issued a formal warning to a non-licensed derivatives issuer and forex provider, Circle Markets Limited, under the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (AML/CFT).
    Tags
    AML/CFT, Roles, Media release, Business, News & Insights
    Type
    Page

  10. 10 October 2019

    KiwiSaver providers respond on member engagement but little movement on fees

    The Financial Market Authority (FMA) has published its annual KiwiSaver report for the year to the end of March 2019, showing a welcome increase in default member engagement, but few signs of a reduction in fees.
    Tags
    Media release, KiwiSaver providers, Roles, Business, Managed investment schemes, News & Insights
    Type
    Page

  11. 10 October 2019

    Circle Markets Limited - Formal Warning

    Notification of a formal warning from the FMA to Circle Markets Ltd under section 80 of the Anti-money laundering and countering finance of terrorism Act 2009. 10 October 2019.
    Tags
    AML/CFT, Roles, Business, Enforcement
    Type
    PDF

  12. 4 October 2019

    KiwiSaver Annual Report 2019

    The FMA publishes a report every year based on all providers’ statutory data for the year to the end of March. It summarises our activities as a regulator relating to KiwiSaver during the reporting period.
    Tags
    Reports and Papers, KiwiSaver providers, Roles, Business, Managed investment schemes, News & Insights
    Type
    PDF

  13. 4 October 2019

    AML/CFT Audit Guideline for risk assessment and AML/CFT programme

    The AML/CFT Audit Guideline for risk assessment and AML/CFT programme is designed to help reporting entities manage the requirement to audit their AML/CFT risk assessment and AML/CFT programme.
    Tags
    AML/CFT, Roles, Business
    Type
    Page, Guidance

  14. 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

  15. 1 October 2019

    Guidance note: Supervisor licensing

    Guidance note: Supervisor licensing is for persons applying for a supervisor’s licence, to replace an expiring licence or to vary an existing licence.
    Tags
    Licensing & registration, Roles, Business, Supervisor
    Type
    Page, Guidance