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31 January 2023

AML/CFT Reporting Entities

Information about the AML/CFT reporting entities supervised by the FMA can be found here.
30 January 2023

Consultationpaper: Renewal of class exemption for dual language (English and te reo Māori) product disclosure statements

We are reviewing whether to renew for a further five years an existing class exemption notice that allows product disclosure statements to be provided in full in both te reo Māori and English (dual language PDSs).
20 January 2023

MIS Sector Risk Assessment 2023

Findings from the FMA’s assessment of the sector risks and the underlying key risk factors for Managed Investment Schemes (MIS), January 2023
18 January 2023

FAP Licensing Application Guide Class 3 questions

FAP Licensing Application Guide Class 3 questions: This document contains the questions you will be asked when applying for a Class 3 Financial Advice Provider full licence. It should be read alongside our guide to full licensing.
17 January 2023

Supervisor Licence Certificate - Trustees Executors Limited

Trustees Executors Limited – FSP37383, Supervisor Licence Certificate
17 January 2023

Supervisors Licence Public Trust

This is the Supervisors Licence Public Trust certificate. LICENCE GRANTED: 17 January 2023, LICENCE STATUS: Active.
21 December 2022

Bruce Allan Baillie - NZICA decision on appeal

NZICA Bruce Allan Baillie decision on appeal.
21 December 2022

Wynyard Group - NZICA decision on appeal

NZICA has released its disciplinary decisions arising from the 2015 PwC audit of the formerly NZX-listed Wynyard Group.
15 December 2022

ASX 24 Obligations Review 2022

This review covers the period 1 July 2020 to 30 June 2022 and is our fourth review of ASX 24 since its licence came into effect on 1 December 2014.
15 December 2022

AML/CFT Designated Business Group – Formation and Change Guideline

This guideline 2022 is designed to help reporting entities forming a designated business group (DBG) to understand the process for doing so. Entities may form a DBG if they are eligible to do so under the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (the AML/CFT Act) and associated regulations.
15 December 2022

SGX DT Obligations Review 2022

This report covers the FMA’s review of SGX-DT for the period 14 September 2021 (the commencement date of SGX-DT’s licence) to 30 June 2022.
9 December 2022

Disclose Register MIS fund updates for 30 June 2022

MIS fund update for 30 June 2022.
2 December 2022

Accredited Body Report - CPA Australia 2022

Findings from the FMA’s review of the adequacy and effectiveness of CPA Australia’s audit regulatory systems for the period 1 July 2021 to 30 June 2022
2 December 2022

Accredited Body Report - NZICA 2022

Findings from the FMA’s review of the adequacy and effectiveness of NZICA’s audit regulatory systems for the period 1 July 2021 to 30 June 2022.
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