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  1. 4 October 2019

    Psychometric testing - OIA request

    OIA response, dated 4 October 2019, which psychometric testing occurred as part of initiatives by the FMA and costs associated during the period 1 July 2017 to 30 June 2019
    Tags
    FMA
    Type
    PDF, OIA

  2. 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

  3. 2 October 2019

    FMA bolsters senior leadership team

    The Financial Markets Authority (FMA) announced two senior appointments to its executive team, reporting directly to Chief Executive Rob Everett.
    Tags
    Governance, Media release, FMA executive team, FMA, News & Insights
    Type
    Page

  4. 1 October 2019

    Persons providing false FMA documentation in suspected scam

    The FMA is aware that false letters and receipts featuring the FMA logo and staff names have been used overseas to solicit money. The false letters claim that a mandatory fee is payable to enable the FMA to obtain official documents and facilitate the approval of loan funds. The correspondence is fictitious and characteristic of advance fee fraud. The FMA does not undertake activities of the type described in the letter and would never ask individuals or entities for money for activities or transactions of this type.”
    Tags
    Suspected scam, Scams
    Type
    Page

  5. 1 October 2019

    Forexbrokerz

    We are concerned that statements on Forexbrokerz’s website, https://www.forexbrokerz.com/ have the potential to mislead investors on the extent the New Zealand financial service providers listed on the website are regulated/licensed in New Zealand and the existing regulatory framework in New Zealand.
    Tags
    Unregistered business, Investor warning, Consumer, Scams
    Type
    Page

  6. 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

  7. 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

  10. 30 September 2019

    FMA launches managed funds guide for World Investor Week

    The FMA has published a new guide to managed funds following research suggesting more New Zealanders are considering alternative investments because of low interest rates.
    Tags
    Media release, Managed funds, Campaigns, Ways to invest, Investing, Consumer, News & Insights
    Type
    Page

  12. 27 September 2019

    GL-FX

    GL-FX is not licensed or registered to provide financial services in either New Zealand or the United Kingdom. We are concerned that GL-FX may be operating a scam.
    Tags
    Suspected scam, Business, Scams
    Type
    Page

  15. 26 September 2019

    Managed Fund Guide - Funds for everyone

    Your guide to choosing, buying and monitoring
    managed funds and exchange traded funds (ETFs).
    Tags
    Managed funds, Ways to invest, Investing, Investor information, Consumer
    Type
    PDF