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  1. 28 February 2018

    Corporate governance in New Zealand: Principles and guidelines

    The Corporate governance in New Zealand: Principles and guidelines handbook assists directors, executives and advisers of non-listed and public-sector companies, and other entities, to apply corporate governance principles to their particular entity.
    Tags
    Directors, Roles, Business
    Type
    Page, Guidance

  2. 28 February 2018

    Corporate governance in New Zealand: Principles and guidelines

    The Corporate governance in New Zealand: Principles and guidelines handbook assists directors, executives and advisers of non-listed and public-sector companies, and other entities, to apply corporate governance principles to their particular entity.
    Tags
    Directors, Roles, Business
    Type
    Page, Guidance

  3. 27 February 2018

    Corporate governance handbook consultation submissions report

    This document summarises the key themes from the submissions to our consultation for the updated Corporate Governance Handbook, and our response to them. It also includes the individual submissions.
    Tags
    Directors, Governance, Consultations, Roles, Business, FMA
    Type
    PDF, Information Sheet

  5. 22 February 2018

    RIS Exemption to enable personalised digital advice 2018

    This regulatory impact statement (RIS) is for financial adviser entities, advisers, and other interested parties. It discusses an exemption to enable the provision of personalised digital advice services.
    Tags
    RIS, Financial Advice Provider, Financial Adviser, Roles, Business
    Type
    PDF

  6. 20 February 2018

    Conduct Outcomes Report

    This report outlines how we responded to the areas of misconduct we saw during 2017. It also gives an overview of our supervision activity for the parts of the financial services industry we regulate.
    Tags
    AML/CFT, Crowdfunding providers, Cryptocurrencies, Directors, Derivative Issuer, Discretionary investment management scheme (DIMS), Offer disclosure for equity and debt offers, Financial Advice Provider, Independent trustee, Roles, Reports and Papers, Business, Managed investment schemes, Peer-to-peer lending service providers
    Type
    Page, Report

  7. 19 February 2018

    Conduct Outcomes Report 2017

    The Conduct Outcomes Report outlines how we responded to the areas of misconduct we saw during 2017.
    It covers our enforcement action, monitoring and supervision work, and our activities to address risks and harms on our regulatory perimeter. It also includes good practice suggestions for licensed financial service providers, and sets out where we will focus our energies in 2018.
    Tags
    Financial Advice Provider, Supervisor, Monitoring, Roles, Business, Enforcement
    Type
    PDF

  8. 15 February 2018

    Designation of certain shares in investment companies as managed investment products

    Designation of certain shares to MIPs information sheet explains the class notice which designates certain shares in investment companies as managed investment products, and the company which issues them as a managed investment scheme.
    Tags
    Roles, Business, Managed investment schemes, Supervisor
    Type
    Page, Guidance

  10. 31 January 2018

    AML/CFT Guide for small financial adviser businesses

    This guide is designed to help financial advisers working independently or in a small business comply with their obligations under the Anti-Money Laundering and Countering the Financing of Terrorism Act 2009 (the AML/CFT Act) and associated regulations (together AML/CFT law).
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    PDF, Resource

  11. 17 January 2018

    Trustees Executors Limited

    Trustees Executors Limited, FSP37383, is licensed by the FMA as Supervisor.
    Tags
    Roles, Licensed entity, Reporting entities, Business, Supervisor
    Type
    Page

  12. 27 December 2017

    Identity Verification Code of Practice Explanatory Note

    The Amended Identity Verification Code of Practice 2013 (the code) clarified requirements for electronic identity verification following the implementation of the Electronic Identity Verification Act 2012 and the Identity Information Confirmation Act 2012. It replaced the previous Identity Verification Code of Practice 2011.
    Tags
    AML/CFT, Roles, Business
    Type
    PDF

  13. 14 December 2017

    AML/CFT interpreting 'ordinary course of business' guideline

    The AML/CFT interpreting 'ordinary course of business' guideline is designed to help clarify the meaning of the phrase "in the ordinary course of business" in the definition of financial institution in the AML/CFT Act 2009. The meaning of this phrase is important if your business conducts one (or more) of the activities listed under the definitions of financial institution”, “designated non-financial business or profession”, and “high-value dealer” in the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (AML/CFT Act).
    Tags
    AML/CFT, Roles, Business
    Type
    Page, Guidance

  14. 14 December 2017

    AML/CFT designated business group: scope guideline

    This guideline is designed to assist reporting entities to understand which obligations may be shared by members of a designated business group (DBG).
    Tags
    AML/CFT, Roles, Business, Designated Business Group (DBG)
    Type
    Page, Guidance

  15. 12 December 2017

    NZICA accredited body report 2017

    This report contains the findings of our monitoring assessment of the New Zealand Institute of Chartered Accountants
    (NZICA) for the period 1 July 2016 to 30 June 2017.
    Tags
    Monitoring, Reports and Papers, Auditors, Roles, Business, News & Insights
    Type
    PDF