1. Compliance
  2. Guidance library

Guidance library

This guidance library contains the FMA’s guidance notes, information sheets, guides and other reference material. 

Clear all

Found 27 results. Displaying page 1 of 2

    • AML/CFT
    • Financial advice
    • Supervisors

    1 October 2018

    Class exemptions for managing intermediaries

    Class exemptions for managing intermediaries information sheet explains the conditions for reporting entities whose customers include managing intermediaries and customers of managing intermediaries to be able to rely on the Anti-Money Laundering and Countering Financing of Terrorism (Class Exemptions) Notice 2018.
    181001 Information sheet: class exemptions for managing intermediaries

    https://www.fma.govt.nz/compliance/guidance-library/class-exemptions-for-managing-intermediaries/

    • AML/CFT

    2 June 2016

    How to complete your annual AML/CFT report: A quick guide to help small financial adviser businesses

    This user guide clarifies the questions in the AML/CFT report template that may be open to interpretation and identifies questions that are unlikely to be relevant to small financial adviser businesses.
    How to complete your annual AML/CFT report: A quick guide to help small financial adviser businesses

    https://www.fma.govt.nz/compliance/guidance-library/how-to-complete-your-annual-amlcft-report-a-quick-guide-to-help-small-financial-adviser-businesses/