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  1. 30 October 2019

    FMA Annual Report 2019

    The FMA Annual Report 2019 details the results we have achieved against our stated intentions.

  3. 29 October 2019

    FMA Model Litigant Policy

    This policy has been developed by the Financial Markets Authority (FMA). It is a statement of principles and embodies the commitment made by FMA on how we will conduct litigation. It is intended to reflect the existing law and is not intended to amend the law or impose additional legal or professional obligations on legal practitioners or other individuals.

  4. 25 October 2019

    Acting on behalf of a customer fact sheet

    A reporting entity is required to verify the identity of persons acting on behalf of a customer and is also required to verify that they have appropriate authority to act on behalf of the customer.

  5. 25 October 2019

    AML/CFT - interpretation of a trust as a customer

    The following is a response made by the AML/CFT supervisors to a query questioning whether a trust can be a customer for the Act’s purposes. This clarification is supplemental to the Trusts Fact Sheet:

  9. 22 October 2019

    ACAMS Conference - OIA response Redacted

    OIA response, dated 22 October 2019, which looks into the FMA’s participation in the October 2019 ACAMS Conference (ACAMS Conference) and more generally about the FMA’s anti-money laundering (AML) regulatory resources.

  10. 10 October 2019

    Circle Markets Limited - Formal Warning

    Notification of a formal warning from the FMA to Circle Markets Ltd under section 80 of the Anti-money laundering and countering finance of terrorism Act 2009. 10 October 2019.

  11. 4 October 2019

    KiwiSaver Annual Report 2019

    The FMA publishes a report every year based on all providers’ statutory data for the year to the end of March. It summarises our activities as a regulator relating to KiwiSaver during the reporting period.

  12. 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

  13. 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.