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  1. 1 November 2019

    A guide to understanding auditing and assurance 2019

    A guide to understanding auditing and assurance: FMC Reporting Entities in New Zealand explains in plain language the value and purpose of auditing and assurance. This will
    assist shareholders, investors and other readers of financial statements who are not experts in auditing and assurance to better understand the messages from the entity’s auditor and make use of this information in their decision making
    Tags
    Auditors, Crowdfunding providers, Derivative Issuer, Discretionary investment management scheme (DIMS), Independent trustee, Peer-to-peer lending service providers, Roles, Business
    Type
    PDF

  2. 1 November 2019

    Reserve Bank of New Zealand (RBNZ) - MOU

    MOU concerning consultation, cooperation and the exchange of information between the FMA and the Reserve Bank of New Zealand
    Tags
    Regulatory cooperation, FMA
    Type
    PDF, MOU

  3. 31 October 2019

    Supervisor Licensing guidance

    This guidance note is for anyone applying: for a licence to be a supervisor, or to replace an expiring supervisor licence, or to vary an existing supervisor licence.
    Tags
    Licensing & registration, Roles, Business, Supervisor
    Type
    PDF, Guidance

  5. 30 October 2019

    FMA publishes 2019 annual report

    The annual report detail the results we have achieved against our stated intentions. These results then feedback into our next cycle of direction-setting, planning, implementation and review. The annual report is a great way to review our operational highlights for the financial year.
    Tags
    Media release, Governance, FMA, News & Insights
    Type
    Page

  6. 30 October 2019

    PTT’s Steven Robertson jailed for six years, eight months

    Steven Robertson has today been sentenced to six years, eight months’ imprisonment at the Auckland High Court as a result of an investigation by the Financial Markets Authority (FMA).
    Tags
    Cases, Media release, News & Insights, Enforcement
    Type
    Page

  8. 30 October 2019

    FMA Annual Report 2019

    The FMA Annual Report 2019 details the results we have achieved against our stated intentions.
    Tags
    Type
    PDF, Annual report, Corporate publications

  9. 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.
    Tags
    Policy, Business, FMA, Enforcement
    Type
    PDF

  10. 25 October 2019

    Financial Markets Conduct (trueEX LLC) Exemption Revocation Notice 2019

    The Financial Markets Conduct (trueEX LLC) Exemption Revocation Notice 2019 revokes the Financial Markets Conduct (trueEX LLC) Exemption Notice 2018 which exempted trueEX from having to be licenced to provide a financial product market. This exemption revoking the earlier exemption has been granted on the request of trueEX as it is no longer operating the financial product market.
    Tags
    Exemptions, Business
    Type
    Page

  11. 25 October 2019

    Financial Markets Conduct (trueEX LLC) Exemption Notice 2018

    The Financial Markets Conduct (trueEX LLC) Exemption Revocation Notice 2019 revokes the Financial Markets Conduct (trueEX LLC) Exemption Notice 2018 which exempted trueEX from having to be licenced to provide a financial product market. This exemption revoking the earlier exemption has been granted on the request of trueEX as it is no longer operating the financial product market. Expired
    Tags
    Exemptions, Business
    Type
    Page

  12. 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.
    Tags
    AML/CFT, Roles, Reporting entities, Business
    Type
    PDF

  14. 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:
    Tags
    AML/CFT, Roles, Business
    Type
    PDF, Fact sheet

  15. 23 October 2019

    JMI Wealth Limited

    JMI Wealth Limited, FSP93061, previously known as JMIS limited is an AML reporting entity supervised by the FMA.
    Tags
    Type
    Page