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  1. 10 December 2021

    Outsourcing CDD to a third-party provider

    Section 34 of the AML/CFT Act allows a reporting entity to authorise and rely on an agent to conduct CDD procedures on its behalf. An agent is a person that has legal authority to represent another party. If you outsource the above CDD procedures under section 34 to a third-party provider, the provider must be acting as your agent. In these circumstances, you remain responsible for ensuring that the CDD conducted by the third-party provider is undertaken to the level required by the AML/CFT Act. Read the full guidance on this page.
    Tags
    AML/CFT, Client money or property services provider, Crowdfunding providers, Cryptocurrencies, Financial Adviser, Roles, Business
    Type
    Page, Guidance

  2. 9 December 2021

    Hillfarrance GP Limited

    Hillfarrance GP Limited is an AML/CFT reporting entity
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  3. 9 December 2021

    AxiCorp licence suspension lifted

    The Financial Markets Authority (FMA) - Te Mana Tātai Hokohoko has lifted the suspension on the derivatives issuer licence of AxiCorp Financial Services Pty Limited (trading as AxiTrader), effective as of 2 December 2021.
    Tags
    Derivative Issuer, Enforceable action, Roles, Media release, Business, News & Insights, Enforcement
    Type
    Page

  6. 7 December 2021

    FMA issues warning to investors about Leadway Investment Group

    WARNING: FMA are concerned that www.leadwaygroups.com (the website) is potentially operating a scam. The website offers trading platforms for various financial products and promises unrealistically high and guaranteed investment returns ranging from 500% to 1,000% in 21 days.
    Tags
    International regulator alerts, Consumer, Scams
    Type
    Page

  8. 7 December 2021

    AML/CFT risk ratings confirmed for sectors under FMA supervision

    A new report by the Financial Markets Authority (FMA) - Te Mana Tātai Hokohoko - has found that derivatives issuers (DI’s) and cryptocurrency service providers are in the high risk category for meeting anti-money laundering and counter-terrorism financing obligations.
    Tags
    AML/CFT, Roles, Reporting entities, Cryptocurrencies, Media release, Business, News & Insights
    Type
    Page

  9. 7 December 2021

    AML/CFT - Sector Risk Assessment

    Our AML/CFT SRA 2021 is an important document that provides general information and specific examples to assist reporting entities (REs) in the ten sectors we supervise for anti-money laundering and countering the financing of terrorism (AML/CFT). It will assist REs to prepare and review their individual assessments of the risks of AML/CFT under sections 58 and 59 of the AML/CFT Act.
    Tags
    AML/CFT, Roles, Reporting entities, Reports and Papers, Business
    Type
    Page, Report

  10. 6 December 2021

    FMA COVID-19 Vaccination Protocol

    To help us minimise the risk of COVID-19 being transmitted at work, we have introduced a protocol which requires anyone working in or visiting any FMA office (or attending any events we host on or off-site) to be fully vaccinated against COVID 19. This policy will come into effect on Monday 6 December.
    Tags
    COVID-19, News & Insights
    Type
    Page

  11. 6 December 2021

    AML/CFT Sector Risk Assessment 2021

    Our Sector Risk Assessment (SRA) helps us and the Reporting Entities we supervise understand the risks of money-laundering
    (ML) and terrorism financing (TF) in each sector. This SRA
    replaces our SRA published in 2017.
    Tags
    AML/CFT, Reports and Papers, Roles, Reporting entities, Business, News & Insights
    Type
    PDF

  12. 3 December 2021

    Silver Harbour Capital Limited

    Silver Harbour Capital Limited (FSP771198) is an AML reporting entity
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  14. 3 December 2021

    FMA releases CPA Australia and NZICA accredited body reports

    FMA has published its annual accredited body reports for CPA Australia and the New Zealand Institute of Chartered Accountants (NZICA), 2021.
    Tags
    Auditors, Roles, Media release, Business, Accredited bodies, News & Insights
    Type
    Page

  15. 2 December 2021

    Warning about toddenergyinvestment.com

    WARNING: toddenergyinvestments.com is falsely purporting to be associated with a registered New Zealand company – Todd Energy Limited, and may be operating a scam.
    Tags
    Imposter website, Suspected scam, Consumer, Scams
    Type
    Page