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  3. 30 June 2021

    Annual AML/CFT report user guide

    The Annual AML/CFT report user guide is designed to help reporting entities complete their annual AML/CFT report.
    Tags
    AML/CFT, Roles, Business
    Type
    Page, Guidance

  4. 29 June 2021

    ICE Futures US general obligations review 2021

    The US Commodity Futures Trading Commission (CFTC) is IFUS’s primary regulator. Our review therefore focuses on whether the CFTC was satisfied with IFUS’s compliance during the review period. 2019-2020 ICE Futures US general obligations review.
    Tags
    Reports and Papers, Roles, Business, Market operator, News & Insights
    Type
    PDF

  5. 29 June 2021

    ICE Futures Europe general obligations review 2021

    The UK Financial Conduct Authority (FCA) is IFEU’s primary regulator. Our review therefore focuses on whether the FCA was satisfied with IFEU’s compliance during the review period. 2021 ICE Futures Europe general obligations review
    Tags
    Reports and Papers, Roles, Business, Market operator, News & Insights
    Type
    PDF

  6. 28 June 2021

    NZX Market Operator Obligations Review 2021

    Findings from the FMA's review of how well NZX is meeting its
    licensed market operator obligations, for the period
    1 January to 31 December 2020
    Tags
    Reports and Papers, Market operator, Roles, Business, News & Insights
    Type
    PDF

  7. 28 June 2021

    FMA releases guide for ‘finfluencers’

    The FMA has released a guide to talking about money online following concerns some social media influencers and bloggers may be straying into regulated financial advice.
    Tags
    Media release, Financial advice, Consumer, News & Insights
    Type
    Page

  8. 28 June 2021

    A guide to talking about money online

    Talking about money or investing can cross over into providing financial advice. This is a guide for consumers, social media influencers, bloggers and anyone wanting to discuss money matters online.
    Tags
    Financial advice, Reports and Papers, Article, Consumer, News & Insights
    Type
    Page, Resource

  10. 24 June 2021

    How to operate

    Getting prepared for licensing covers: who will need a licence under the new financial advice regime; the different ways to operate under the new regime, and provides an easy-to-navigate tool that will help guide you through the options if you're unsure how you wish to operate. See more.
    Tags
    New Financial Advice regime, Client money or property services provider, Financial Advice Provider, Financial Adviser, Roles, Business, Interposed persons under new financial advice regime, Nominated representatives
    Type
    Page

  11. 24 June 2021

    Investor capability and consumer insights

    Capable, confident and well-informed investors are an essential part of healthy financial markets. Part of the FMA's role is to help investors build this capability and to seek insights from both investors and consumers of other financial services. This page explains the objective of the FMA in building customer capability and how we approach our work in building a safe and transparent financial market.
    Tags
    Regulation, Business, FMA
    Type
    Page

  12. 24 June 2021

    Statement of Performance Expectations 2021 to 2022

    Our Statement of Performance Expectations outlines our short-term (annual) performance targets. It should be read in conjunction with our Statement of Intent. This is the 2021 to 2022 report.
    Tags
    Reports and Papers, News & Insights
    Type
    PDF, Corporate publications, Statement of Performance Expectations

  13. 23 June 2021

    NZX Limited

    NZX Limited is a licensed market operator.
    Tags
    Market operator, Roles, Licensed entity, Business
    Type
    Page

  14. 23 June 2021

    MIS liquidity risk management review

    Recommendations on liquidity stress testing frameworks, processes and procedures for managed investment schemes (MIS).
    Tags
    Roles, Business, Managed investment schemes, Supervisor
    Type
    Page, Guidance

  15. 22 June 2021

    MIS liquidity risk management review

    This report contains recommendations on liquidity stress testing frameworks, processes and procedures, following the August 2020 self-assessment survey completed by regulated entities for a two-year period ending 31 December 2019. It will be useful for directors, senior management and investment personnel of managed investment schemes.
    Tags
    Roles, KiwiSaver providers, Business, Managed investment schemes, Supervisor
    Type
    PDF, Report