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Found 2480 results. Displaying page 162 of 166

  1. 1 August 2013

    AML/CFT acting on behalf of a customer fact sheet

    AML/CFT acting on behalf of a customer fact sheet. A person acting on behalf of a customer is subject to the same identification requirements as the customer.
    The fact sheet should be read in conjunction with the beneficial ownership guideline.
    Tags
    AML/CFT, Roles, Business
    Type
    Page, Fact sheet, Guidance

  2. 1 August 2013

    AML/CFT wire transfers fact sheet

    The AML/CFT wire transfers fact sheet describes: what a wire transfer is, who are the parties to a wire transfer and what are the responsibilities placed on reporting entities that are Ordering, Intermediary, or Beneficiary Institutions.
    Tags
    AML/CFT, Roles, Business
    Type
    Page, Guidance

  6. 12 July 2013

    consultation paper charitable and religious purposes exemption review

    In this paper we seek submissions on proposals relating to the review the Financial Markets Authority (FMA) is undertaking on the Securities Act (Charitable and Religious Purposes) Exemption Notice 2003 (SR 2003/66) (the CRP Notice), which is due to expire on 30 November 2013.
    FMA is reviewing the CRP Notice simultaneously with the Reserve Bank of New Zealand’s review of the appropriate treatment of charitable and religious organisations under the Non-bank Deposit Takers regime.
    Tags
    Consultations, Supervisor, Roles, Business
    Type
    PDF

  12. 29 June 2013

    NZX Obligations Review 2013

    Under the FMC Act, we are required to review at least annually how well a licensed market operator is meeting its obligations, and to publish a written report. Broadly, these relate to the areas of operation that are regulatory in nature. Publishing the report provides transparency into our oversight of NZX. This report was published in 2013.
    Tags
    Market operator, Reports and Papers, Roles, Business, News & Insights
    Type
    PDF

  13. 17 June 2013

    Monitoring of KiwiSaver Offer Documents

    This report outlines to issuers, their directors and advisers, our views and observations on current market practices.
    Tags
    Roles, Offer disclosure for equity and debt offers, Reports and Papers, KiwiSaver providers, Business, Managed investment schemes, News & Insights, Supervisor
    Type
    Page, Report

  14. 6 June 2013

    FMA’s supervision of AML/CFT

    This document outlines the FMA’s priorities for monitoring reporting entities under the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (AML/CFT Act).
    Tags
    AML/CFT, Roles, Reporting entities, Reports and Papers, Business, News & Insights
    Type
    Page, Report

  15. 1 June 2013

    Auditor regulation and oversight plan 2013 2016

    Audits of FMC reporting entities’ financial statements are designed to increase investor confidence. One of the ways
    we ensure these audits are done well is by reviewing audits at registered audit firms. This plan is for the 2013-2016 period
    Tags
    Regulation, Reports and Papers, Auditors, Roles, Business, News & Insights
    Type
    PDF