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  1. 19 October 2022

    InvestNow Saving and Investment Service Limited

    The FMA has issued a formal warning to InvestNow Saving and Investment Service Limited for failing to comply with the Anti-Money Laundering and Countering Financing of Terrorism (AML/CFT) Act.
    Tags
    Powers, AML/CFT, Roles, Formal warning, Business, Enforcement
    Type
    Page

  4. 16 October 2022

    Climate risks and the impact on financial statement audits

    This document provides clarity for auditors about the expectations for information about climate risks in audit files.
    Tags
    Climate related disclosure, Auditors, Roles, Ethical finance, Authorised body under a FAP, Climate Reporting Entities, Business, Managed investment schemes, Supervisor
    Type
    Page, Guidance

  5. 13 October 2022

    Offers of financial products

    Issuers are involved in first making a financial product available. They include a debt security, an equity security, a managed investment product, and a derivative. View more about offers of financial product and obligations of those offering financial products in New Zealand on this page.
    Tags
    Offer information, Offer disclosure for equity and debt offers, Roles, Business
    Type
    Page

  6. 12 October 2022

    AML/CFT Programme Guideline

    This guideline is designed to help you develop and implement your anti-money laundering and countering financing of terrorism programme (programme) under
    the Anti-Money Laundering and Countering Financing of Terrorism (AML/CFT) Act 2009 (the Act).
    Tags
    AML/CFT, Roles, Reporting entities, Business
    Type
    PDF

  7. 12 October 2022

    AML/CFT Designated Business Group – Scope Guideline

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

  8. 10 October 2022

    Consultation FAP Regulatory Returns Class 1

    This consultation document is intended for Class 1 licensed financial advice providers (FAPs).
    Tags
    Financial Advice Provider, Consultations, Roles, Business
    Type
    PDF

  10. 10 October 2022

    Questions for FAP Class 2 regulatory returns

    Questions you will be asked online when you submit your FAP Class 2 regulatory return.
    Tags
    Financial Advice Provider, Consultations, Regulatory returns, Roles, Business
    Type
    Word document

  12. 10 October 2022

    Consultation FAP Class 2 regulatory returns

    This consultation is intended for Class 2 licensed financial advice providers (FAPs).
    Tags
    Financial Advice Provider, Consultations, Regulatory returns, Roles, Business
    Type
    PDF

  14. 12 July 2023

    Consultations

    Consultations are an important part of the FMA policy-development process. The process is designed to encourage quality engagement from interested businesses and individuals. See a list of our consultation papers on this page.
    Tags
    Regulation, Consultations, Business
    Type
    Page