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Guidance library

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

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Found 33 results. Displaying page 1 of 2

    • AML/CFT

    26 July 2019

    AML/CFT customer due diligence: sole traders and partnerships

    Businesses can take many forms and may vary in size and complexity. The AML/CFT customer due diligence: sole traders and partnerships fact sheet focuses on the three business types - Sole trader, partnership and limited partnership. The fact sheet should be read in conjunction with the beneficial ownership guideline.

    https://www.fma.govt.nz/compliance/guidance-library/amlcft-customer-due-diligence-sole-traders-and-partnerships/

    • 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.

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

    • AML/CFT

    14 December 2017

    AML/CFT interpreting 'ordinary course of business' guideline

    The AML/CFT interpreting 'ordinary course of business' guideline is designed to help clarify the meaning of the phrase "in the ordinary course of business" in the definition of financial institution in the AML/CFT Act 2009. The meaning of this phrase is important if your business conducts one (or more) of the activities listed under the definitions of financial institution”, “designated non-financial business or profession”, and “high-value dealer” in the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (AML/CFT Act).

    https://www.fma.govt.nz/compliance/guidance-library/amlcft-interpreting-ordinary-course-of-business-guideline/