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
TODD FAMILY OFFICE LIMITED FSP41181
TONKIN FINANCIAL SERVICES FSP141144
TONY CHAMBERLAIN FSP138624
TONY DOWELL T/A JANTON INVESTMENTS LTD FSP103509
TOTARA WEALTH MANAGEMENT LIMITED FSP561546
Tradition Kiwi Brokers Limited FSP654451
TRAFALGAR COPLEY LIMITED FSP29821
TRANSACT WEALTH GROUP LTD & MAISEY&CO LTD FSP83761
TRANSACT WEALTH MANAGEMENT LIMITED FSP115284
TRANSPACIFIC WEALTHCARE LIMITED FSP380346
Trove NZ Limited
Trust Investments Management Limited FSP47401
TRUSTEES EXECUTORS LIMITED FSP37383
TYPHON HOLDINGS LIMITED FSP712531
TYPHON HOLDINGS LTD FSP102744
UBS NEW ZEALAND LIMITED FSP44063
UK PENSION TRANSFERS LIMITED FSP19444
UNITED BROKERS INSURANCES 2002 LIMITED FSP556526
Vaughan Charles Atkin FSP107926
VELOCITY TRADE INTERNATIONAL LTD FSP339706