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Climate related disclosures implementation approach

The Financial Sector (Climate-related Disclosures and Other Matters) Amendment Bill (CRD Bill) received Royal assent on 27 October 2021. This document briefly explains the Financial Sector (Climate-related Disclosures and Other Matters) Amendment Act 2021 (the CRD legislation) and outlines the Financial Markets Authority’s (FMA) implementation approach for the CRD regime over a period of approximately 4 years, through to 2025/26. It sets out the roles and responsibilities of the various government agencies, to help industry understand ‘who is doing what’ with regard to CRD.

Complaints: Ensuring consumers are treated fairly

This infosheet outlines FMA’s recommendations to help NZ consumers know how to complain and be treated fairly when things go wrong.

AML/CFT Designated Business Group – Formation and change Guideline

Guideline to reporting entities on eligibility, formation, notification and withdrawal from a designated business group.

AML/CFT Designated Business Group – Scope Guideline

This guideline is designed to help reporting entities understand which obligations may be shared by members of a designated business group (DBG).

KiwiSaver performance fees guidance

Guidance on KiwiSaver performance fees by FMA, outlining fair fee structures, risk alignment, and disclosure expectations.

AML CFT Guideline Customer Risk Rating

This guide is for financial institutions that operate as providers of online marketplaces. It explains how to comply with the Anti-Money Laundering and Countering Financing of Terrorism (AML/CFT) Act 2009.

AMLCFT Audit Guideline

This guidance is to help reporting entities understand the AML/CFT audit (“audit”) requirements in terms of the AntiMoney Laundering and Countering Financing of Terrorism Act 2009 and undertake an effective and credible audit of their risk assessment and AML/CFT programme.

Cyber Security and Operational Systems Resilience

This information sheet assists market services licensees (excluding benchmark administrators) licensed under Part 6 of the Financial Markets Conduct Act 2013 (FMC Act) to enhance the resilience of their cyber and operational systems. While this information sheet is designed to apply to a broad range of sectors, entities with complex cyber security and operational systems should consider the specific technology requirements and obligations that apply to their sector.

Guide for providers of client money or property services

This document is for providers of client money or property services and custodians. It gives guidance on how they can meet their obligations under the Financial Markets Conduct Act 2013.

Climate related disclosures monitoring plan 2023-2026

Climate related disclosures monitoring plan 2023-2026.

Guidance note for reporting entities Notifying customer of asset freeze or blocked transaction

FMA, DIA and RBNZ – along with their partner agencies – MFAT and NZ Police – have provided a Guidance Note for duty holders that are AML/CFT reporting entities. The Guidance Note specifically relates to notifying a customer of an asset freeze or blocked transaction under the Russia Sanctions Act.

AML/CFT Enhanced Customer Due Diligence Guideline

This guideline assists you to conduct enhanced customer due diligence (enhanced CDD) on your customers under the Anti-Money Laundering and Countering Financing of Terrorism (AML/CFT) Act 2009 (the Act). Published October 2022.

Beneficial ownership guideline

This guideline is to assist reporting entities in meeting the requirement to perform customer due diligence on the customer and beneficial owners of the customer under sections 11-26 of the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (‘the Act’).

liquidity risk management guide

This FMA guide outlines how Managers and Supervisors can demonstrate they are effectively managing and overseeing liquidity risk.

Guidance Notification of incidents relating to the operational resilience of technology systems

Notification of incidents relating to the operational resilience of technology systems

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