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Anti-Money Laundering and Countering Financing of Terrorism Reporting Entities
Issuers
Trustees
Who Needs to Comply
Licensed Trustees and Statutory Supervisors
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Trustees
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Trustees
The Securities Trustees and Statutory Supervisors Act 2011 requires securities trustees and statutory supervisors to be licensed. The Act gives FMA powers to oversee the performance of securities trustees and statutory supervisors.
Who Needs to Comply
Defines the types of trustees and statutory supervisors covered by the Act
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about "Who Needs to Comply"
Licensed Trustees and Statutory Supervisors
Licensed Trustees and Statutory Supervisors
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about "Licensed Trustees and Statutory Supervisors"
Getting Licensed
How to apply for a new license or variation and a link to the application form and a full licensing guidance note
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about "Getting Licensed"
Your Obligations
The obligations that apply to securities trustees and statutory supervisors under the Act
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about "Your Obligations"
Monitoring and Surveillance
Monitoring and Surveillance Trustees
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about "Monitoring and Surveillance"
Fees and Levies
Applicants must pay a fee to apply for or vary a licence
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about "Fees and Levies"
Breaches and Offences
Securities trustees and statutory supervisors may be liable for penalties for breaches of their obligations
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about "Breaches and Offences"
Money Laundering and Financing Terrorism
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about "Money Laundering and Financing Terrorism"
Guidance Notes
The approach FMA takes to interpreting various requirements under legislation.
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about "Guidance Notes"
