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11 June 2024

Standard conditions for DI licences consultation paper

Standard conditions for DI licences consultation paper
7 June 2024

Scam basics

This FMA webpage talks about types of scams, how to avoid being scammed, how to report a scam, COVID-19 scams and how to have a scam warning removed.
7 June 2024

Financial Advice Provider (FAP)

A financial advice provider (FAP) is an individual or entity (e.g. a company) that provides a "financial advice service". Find out more about licensing, registration, costs and ongoing obligations as well as how to comply with the new Code of Professional Conduct for financial advice services including competence, knowledge and skill requirements as well as requirements for ethical behaviour, conduct and client care.
30 May 2024

Financial Advice Provider Monitoring Insights

Findings from the FMA’s supervision activities and monitoring of Class 1 and 2 licensed financial advice providers
22 May 2024

Consultation paper Exemption renewal director interests and NZCDC settlement system

Have your say on the renewal of exemptions for disclosures of relevant interests by directors and senior managers, and in relation to NZCDC Settlement System activities. Submissions close 21 June 2024.
22 May 2024

Climate related disclosures monitoring plan 2023-2026

Climate related disclosures monitoring plan 2023-2026.
22 May 2024

Feedback form Exemption renewal director interests and NZCDC settlement system

Feedback form Exemption renewal director interests and NZCDC settlement system
21 May 2024

AML Reporting entities 2023 OIA response

Request relating to AML Reporting entities and their obligations.
21 May 2024

FMA Complaints Policy 2023 OIA response

Request for the FMA’s Complaints Policy
21 May 2024

FMAs Climate Response 2023 OIA response

Request relating Climate Action in the Financial Markets.
17 May 2024

Supervisory approach new AMLCFT Regs 17 May 2024

The Department of Internal Affairs, the Financial Markets Authority and the Reserve Bank of New Zealand (‘the Supervisors’) welcome the changes to AML/CFT requirements as a result of the various Amendment Regulations coming into force on 1 June 2024.
17 May 2024

Craig Stobo, Chairperson

Craig Sobo is Chairperson of the FMA Board.
13 May 2024

Guidance note for reporting entities Notifying customer of asset freeze or blocked transaction

FMA, DIA and RBNZ – along with their partner agencies – MFAT and NZ Police – have provided a Guidance Note for duty holders that are AML/CFT reporting entities. The Guidance Note specifically relates to notifying a customer of an asset freeze or blocked transaction under the Russia Sanctions Act.
13 May 2024

Report a scam

If you suspect you have been targeted by an investment or financial scam, report the scam to the FMA.
10 May 2024

AML/CFT Customer Due Diligence – Trusts

This guideline is intended to support reporting entities1 to conduct customer due diligence (CDD) under the Anti-Money Laundering and Countering Financing of Terrorism (AML/CFT) Act 2009 (the Act) on their customers who are trusts.