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12 March 2018

MIS regulatory returns sample tables

This spreadsheet should be considered an example of the regulatory return information required by MIS managers.
12 March 2018

Annual Regulatory returns for licensed Derivative Issuers questions

Annual regulatory return information to be provided by licensed Discretionary Investment Management Services (DIMS) providers to the FMA
12 March 2018

Annual Regulatory returns for DIMS providers questions

Annual regulatory return information to be provided by licensed Discretionary Investment Management Services (DIMS) providers to the FMA.
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.
22 February 2018

Consultation for exemption to enable personalised digital advice submissions report

A summary of submissions on the second consultation on the exemption to enable personalised digital advice.
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.
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.
1 February 2018

Designation of certain shares in investment companies as managed investment products information sheet

This 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.
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).
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.
12 December 2017

Open letter to managers of collective investment schemes

Open letter to managers of collective investment schemes ahead of the anti-Money laundering and Countering Financing Terrorism Act 2009.
12 December 2017

CPA accredited body report 2017

This report contains the findings of our monitoring assessment of CPA Australia for the period 1 July 2016 to 30 June 2017.
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.
1 December 2017

AML/CFT interpreting ordinary course of business guideline

This guideline is designed to help clarify the meaning of the phrase “in the ordinary course of business”. 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).
1 December 2017

AML/CFT Designated Business Group – Formation Guideline

Guideline to reporting entities on eligibility, formation, notification and withdrawal from a designated business group.