1. Compliance
  2. AML/CFT
  3. Reporting Entities

Reporting Entities

AML/CFT list of reporting entities supervised by FMA

This list below contains all businesses or individuals who are currently FMA reporting entities. It does not mean we have approved or licensed them, or certified their AML/CFT compliance. The list is not exhaustive or conclusive and is subject to change. 

More information about the AML/CFT list of reporting entities

The information in this list is drawn from the Financial Service Providers Register and those that have come to the attention of the FMA by other means (such as providing us with annual AML/CFT reports). Visit www.fspr.govt.nz to see additional information including the reporting entities business address and list of services. Entities shown on this list must be compliant with the Act.

  1. Businesses that appear on this list have been identified as reporting entities, supervised by the FMA under section 5 of the Anti-Money Laundering and Countering Financing of Terrorism Act 2009. Others are captured by Anti-Money Laundering and Countering Financing (definitions) Regulations 2011.
  2. The reporting entities supervised by the FMA are set out in section 130 of the Anti-Money Laundering and Countering Financing of Terrorism Act 2009. They include Derivative issuers, Brokers and custodians, Equity crowdfunding platforms, Financial advisers, Managed investment scheme managers, Peer-to-peer lending providers, Discretionary investment management services, Licensed supervisors and Issuers of securities.
  3. The list represents our current assessment and will be subject to changes made from time to time.
  4. This list is not complete, exhaustive nor conclusive. Businesses that do not appear on this list but do meet the definition of reporting entity under the Act will be subject to the obligations created by that Act. If you own, or know of a business that falls within the definition of reporting entity under the Act, and is one of the types of businesses described above, that is not on the list please contact the FMA by emailing details to aml@fma.govt.nz
  5. If your business is on this list and you do not agree it falls within the definition of reporting entity under the Act please contact us by emailing details to aml@fma.govt.nz
  6. Banks, life insurers and non-bank deposit takers are supervised by the Reserve Bank of New Zealand and can access information at www.rbnz.govt.nz. Casinos, money service businesses (including currency exchange and money remittance/transfer), payroll remittance, lending and other services (including non-bank non-deposit-taking lenders, debt collection and factoring), financial leasing, cash transporters, safe deposit/cash storage, and issuing and managing means of payment (including non-bank credit card providers) and any other reporting entities not supervised by the Reserve Bank of New Zealand or the FMA are supervised by the Department of Internal Affairs and can access information at www.dia.govt.nz
  7. This list is not an official or statutory register of reporting entities. It is for information only.
  8. The listing of a business does not imply that the FMA has approved of the activities of the business and does not certify compliance of the business with applicable legislation.

This list does not constitute the FSPR under the Financial Service Providers (Registration and Dispute Resolution) Act 2008 No 97 (as at 01 April 2011), Public Act

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Name of notice FSPR
ABBOTT INSURANCE BROKERS LIMITED FSP24361
ABBOTT LIFE AND HEALTH (2015) LIMITED FSP475806
ABBOTT PREMIUM FUNDING CO LTD FSP37422
ABSOLUTE FINANCIAL ADVISERS LTD FSP110464
ACCORDIA ASSET MANAGEMENT LIMITED FSP3341
ACCORDIA SERVICES LIMITED FSP3361
ACORN INSURANCE & INVESTMENT LTD FSP66846
ACTIVE INVESTMENT MANAGEMENT LIMITED FSP37045
ADASTRA FINANCIAL SERVICES FSP100306
Adminis Custodial Nominees Limited FSP508706
ADMINIS NZ LIMITED FSP507546
ADRIAN CRONIN FSP105186
ADRIAN SCHWARZ FINANCIAL SERVICES FSP102236
ADVICEFIRST LIMITED FSP23242
AFFINITY FINANCE LIMITED FSP94501
ALAN BURNS TRADING AS STEWART GROUP WELLINGTON LTD FSP77541
ALAN CLARKE FINANCIAL SERVICES LTD FSP26532
ALEXANDER WATSON FSP53501
ALISTAIR BEAN & ASSOC'S FINANCIAL SERVICES LIMITED FSP29347
ALISTAIR BRUCE MELVILLE HOLT FSP16943