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Found 6601 results. Displaying page 198 of 441

  1. 23 July 2021

    Mainland Capital DBG

    Mainland Capital DBG including: Mainland Capital Investment Management Limited, Mainland Capital Limited and MCGF Trustee Limited
    Tags
    AML/CFT, Roles, Designated Business Group (DBG), Business
    Type
    Page

  2. 23 July 2021

    Vivier and Company Limited

    Vivier and Company Limited
    Tags
    Investor warning, Unregistered business, Consumer
    Type
    Page

  3. 22 July 2021

    New Zealand insurers – you’ve got a lot of work to do

    FMA Director of Banking and Insurance, Clare Bolingford talks about new conduct licensing regime that aims to improve fair treatment for customers.
    Tags
    FMA stories, Financial Advice Provider, Banking, Roles, Insurance Providers, Business, News & Insights
    Type
    Page

  4. 22 July 2021

    General insurers ill-prepared for conduct licensing

    General insurers are not prepared for new legislation that will require them to establish systems and processes to ensure good conduct and fair treatment of customers, according to the Financial Markets Authority (FMA) - Te Mana Tātai Hokohoko.
    Tags
    Roles, Financial Advice Provider, Licensing & registration, Media release, Conduct, Insurance Providers, Business, News & Insights
    Type
    Page

  5. 22 July 2021

    Insurance conduct and culture: Fire and general insurers update

    Findings from the FMA’s evaluation of New Zealand fire and general insurers’ responses to the 2019 Life Insurer Conduct and Culture review
    Tags
    Financial Adviser, Reports and Papers, Roles, Insurance Providers, Financial Institutions, Business, News & Insights
    Type
    Page

  6. 21 July 2021

    Acquire Financial Services Limited

    Acquire Financial Services Limited are an AML/CFT reporting entity.
    Tags
    AML/CFT, Roles, Reporting entities, Business
    Type
    Page

  8. 20 July 2021

    Offer disclosure for equity and debt offers

    Issuers are involved in first making a financial product available. The FMC Act has requirements for financial product offer information. See those requirements, financial reporting obligations, accountability framework for managed investment schemes and debt securities on this page.
    Tags
    Compliance, Offer disclosure for equity and debt offers, Obligations, FMC Act, Roles, Legislation, Business
    Type
    Page

  9. 19 July 2021

    www.rockfortcrypto.com

    There are false claims made on this website that they are connected with a New Zealand licensed derivatives issuer - Rockfort Markets Limited. Rockfort Markets Limited has confirmed that they are not associated with or operate this website.
    Tags
    Imposter website, Suspected scam, Consumer, Scams
    Type
    Page

  10. 19 July 2021

    www.rockfort-markets.com

    Warning: There are false claims made on this website that they are connected with a New Zealand licensed derivatives issuer - Rockfort Markets Limited. We do not believe Rockfort operates and/or is associated with this website.
    Tags
    Imposter website, Suspected scam, Consumer, Scams
    Type
    Page

  11. 19 July 2021

    www.rockfortmarket.net

    The FMA is concerned that www.rockfortmarket.net could be involved in a scam.
    Tags
    Imposter website, Suspected scam, Consumer, Scams
    Type
    Page

  12. 16 July 2021

    Birth Certificates with Redacted Information

    The Anti-Money Laundering and Countering the Financing of Terrorism (AML/CFT) Supervisors have produced this factsheet to confirm their position is that certain details may be redacted by a customer from their birth certificate if it is used for identity verification purposes when conducting customer due diligence.
    Tags
    AML/CFT, Client money or property services provider, Compliance, Crowdfunding providers, Cryptocurrencies, Financial Adviser, Independent trustee, Obligations, Roles, Business, Supervisor
    Type
    Page, Guidance

  13. 16 July 2021

    Amended Identity Verification Code of Practice 2013

    This code of practice provides a suggested best practice for all reporting entities conducting name and date of birth identity verification on customers (that are natural persons) that have been assessed to be low to medium risk. Identification involves obtaining from the customer a range of information about him or her (“identity information”). Verification involves confirming some of that information against documents, data or information obtained from a reliable and independent source.
    Tags
    AML/CFT, Compliance, Roles, Reporting entities, Business
    Type
    PDF

  14. 16 July 2021

    Birth Certicate Redaction Factsheet

    The Anti-Money Laundering and Countering the Financing of Terrorism (AML/CFT) Supervisors have produced this factsheet to confirm their position is that certain details may be redacted by a customer from their birth certificate if it is used for identity verification purposes when conducting customer due diligence.
    Tags
    AML/CFT, Roles, Business
    Type
    PDF, Fact sheet

  15. 16 July 2021

    Amended Identity Verification Code of Practice 2013

    AML/CFT amended identity verification code of practice 2013 provides a suggested best practice for all reporting entities conducting name and date of birth identity verification on customers (that are natural persons).
    Complying with a code of practice is not mandatory, although it constitutes a safe harbour. If a reporting entity fully complies with the code it is deemed to be compliant with the relevant parts of the Act. If a reporting entity opts out of the code, it must inform its supervisor and must adopt practices that are equally effective, otherwise, it risks non-compliance.
    Tags
    AML/CFT, Roles, Business
    Type
    Page, Guidance