Document Library

Found 1407 results. Displaying page 1 of 94

1. 2 December 2022

   Accredited Body Report - CPA Australia 2022

   Findings from the FMA’s review of the adequacy and effectiveness of CPA Australia’s audit regulatory systems for the period 1 July 2021 to 30 June 2022

   https://www.fma.govt.nz/assets/Reports/Accredited-body-report-2022-CPA-Australia.pdf (794 KB)

   Tags

   Roles, Accredited bodies, Business

   Type

   PDF, Report

2. 2 December 2022

   Accredited Body Report - NZICA 2022

   Findings from the FMA’s review of the adequacy and effectiveness of NZICA’s audit regulatory systems for the period 1 July 2021 to 30 June 2022.

   https://www.fma.govt.nz/assets/Reports/Accredited-body-report-2022-NZICA.pdf (794 KB)

   Tags

   Roles, Accredited bodies, Business

   Type

   PDF, Report

3. 2 December 2022

   Change of manager director notification form

   Notification form to be submitted to the FMA when there is a change of managing director of a reporting entity.

   https://www.fma.govt.nz/assets/Compliance/170522-Change-of-manager-director-notification-form.pdf (2.1 MB)

   Tags

   Directors, Roles, Business

   Type

   PDF, Application form

4. 2 December 2022

   FAP Form Change of director or senior manager of a licence holder or change of key personnel of an Authorised Body

   Form to be used to inform the FMA of a change of director or senior manager of a licence holder or changes of key personnel of an authorised body.

   https://www.fma.govt.nz/assets/Compliance/FAP-Form-Change-of-director-senior-manager-or-key-personnel-AB.pdf (1.2 MB)

   Tags

   Financial Advice Provider, Roles, Directors, Business

   Type

   PDF, Application form

5. 30 November 2022

   Financial Institutions Regulatory Impact Statement standard conditions

   This document is for financial institutions, their advisers, and
   interested parties. It discusses standard conditions for
   financial institution licences.

   https://www.fma.govt.nz/assets/RIS/Financial-Institutions-Regulatory-Impact-Statement-standard-conditions.pdf (998 KB)

   Tags

   Banking, RIS, Insurance Providers, Financial Institutions, Business

   Type

   PDF

6. 30 November 2022

   Financial institution licence guide

   This guide is for businesses who are intending to apply for a financial institution licence.

   https://www.fma.govt.nz/assets/Licensing-guides/Financial-institution-licence-guide.pdf (1.3 MB)

   Tags

   Banking, Licensing & registration, Insurance Providers, Financial Institutions, Business

   Type

   PDF

7. 30 November 2022

   Financial Institutions Submissions report standard conditions

   Collation of written feedback received as part of the FMA’s
   public consultation on the proposed standard conditions for
   financial institution licences.

   https://www.fma.govt.nz/assets/Consultations/Financial-Institutions-Submissions-report-standard-conditions.pdf (6.2 MB)

   Tags

   Banking, Consultations, Insurance Providers, Financial Institutions, Business

   Type

   PDF

8. 30 November 2022

   Fair Conduct Programmes information sheet

   This information sheet provides information and examples to help entities establish, implement and maintain their fair conduct programmes (FCPs). It will be useful for entities holding or applying for a licence to act as a financial institution under the Financial Markets Conduct Act 2013 (FMC Act), and anyone involved in establishing, implementing and maintaining an FCP.

   https://www.fma.govt.nz/assets/Information-sheets/FCP-information-sheet.pdf (366 KB)

   Tags

   Banking, Conduct, Insurance Providers, Financial Institutions, Business

   Type

   PDF

9. 30 November 2022

   Standard conditions for financial institutions

   If we grant you a financial institution licence, the licence will be subject to the conditions set out in this document.

   https://www.fma.govt.nz/assets/Compliance/Standard-conditions-for-financial-institutions.pdf (222 KB)

   Tags

   Banking, Standard conditions, Insurance Providers, Financial Institutions, Licensing & registration, Business

   Type

   PDF

10. 23 November 2022

    Financial Markets Conduct Irish UCITS Exemption Notice 2022

    Financial Markets Conduct (Irish UCITS) Exemption Notice 2022, published 23 November 2022

    https://www.fma.govt.nz/assets/Exemption/Financial-Markets-Conduct-Irish-UCITS-Exemption-Notice-2022.pdf (232 KB)

    Tags

    Exemptions, Business

    Type

    PDF, Exemption notice, Financial Markets Conduct Act exemptions, Current

11. 17 November 2022

    Supervisor licence Anchorage Trustee Services Limited

    This is to certify that Anchorage Trustee Services Limited FSP 146324 is licensed under section 16(1) of the Financial markets Supervisors Act 2011 to act as a statutory supervisor in respect of any retirement village. Licence effective from 17 November 2022 and expires on 16 November 2027

    https://www.fma.govt.nz/assets/Compliance/Supervisor-licence-anchorage-trustee-services-limited.pdf (295 KB)

    Tags

    Licence, Roles, Licensing & registration, Business, Supervisor

    Type

    PDF

12. 16 November 2022

    2022 Audit Quality Monitoring Report

    The Audit Quality Monitoring Report for 1 July 2021 – 30 June 2022. This this year’s report emphasises that high-quality audits are vital to ensuring investors can make active choices based on clear, concise, and effective information.

    https://www.fma.govt.nz/assets/Reports/2022-Audit-Quality-Monitoring-Report.pdf (1.8 MB)

    Tags

    Auditors, Reports and Papers, Roles, Business, News & Insights

    Type

    PDF, Report

13. 9 November 2022

    Monitoring of licensed Financial Advice Providers information sheet

    The Monitoring of licensed Financial Advice Provider (FAP) information sheet explains how we carry out monitoring activities, what we expect of you, and what you can expect from us.

    https://www.fma.govt.nz/assets/Information-sheets/Monitoring-of-licensed-Financial-Advice-Providers-information-sheet.pdf (180 KB)

    Tags

    Financial Advice Provider, Roles, Business

    Type

    PDF, Information Sheet

14. 26 October 2022

    Financial Markets Conduct (ANZ Group Holdings Limited) Exemption Notice 2022

    Financial Markets Conduct (ANZ Group Holdings Limited) Exemption Notice 2022

    https://www.fma.govt.nz/assets/Exemption/ANZ-Group-Holdings-Exemption-Notice-Oct2022.pdf (1.3 MB)

    Tags

    Type

    PDF, Financial Markets Conduct Act exemptions, Current, Exemption notice

15. 25 October 2022

    AMLCFT Enhanced Customer Due Diligence Guideline 2022

    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.

    https://www.fma.govt.nz/assets/Guidance/AMLCFT-enhanced-customer-due-diligence-guideline-Oct2022.pdf (317 KB)

    Tags

    AML/CFT, Roles, Compliance, Obligations, Business

    Type

    PDF, Guidance