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Our Sector Risk Assessment (SRA) helps us and the Reporting Entities we supervise understand the risks of money-laundering (ML) and terrorism financing (TF) in each sector. This SRA replaces our SRA published in 2017.
Findings from the FMA’s review of the adequacy and effectiveness of CPA Australia’s audit regulatory systems for the period 1 July 2020 to 30 June 2021
Findings from the FMA’s review of the adequacy and effectiveness of NZICA’s audit regulatory systems for the period 1 July 2020 to 30 June 2021
CE Expense Disclosure Hospitality Rob Everett 1 Jul to 31 Oct 21
CE Expense Disclosure Other Rob Everett 1 Jul to 31 Oct 21
CE Expense Disclosure Travel Rob Everett 1 Jul to 31 Oct 21
CE Expense Disclosure Summary Rob Everett 1 Jul to 31 Oct 21
This investor guide tells you what you need to know before investing in a new share offer
Financial Markets Conduct (Pegasus Health Membership Limited) Exemption Notice 2021
Keeping accurate records of the financial advice you provide helps maintain a relationship of transparency and trust with your clients. It also ensures you can provide evidence of how you have complied with your licensee obligations as and when required. Use this self-assessment tool to see if you’re ready to complete the record keeping section of your Class 1 or Class 2 FAP full licence application. It should help you identify areas of strength or weakness in your full licence preparation so you can seek further help or advice and address any gaps before you apply.
This notice is the Financial Markets Conduct (FNZ Group) Exemption Amendment Notice 2021.
As a small business, we expect you’ll need to outsource some functions to third parties. It’s important that you protect your reputation and your clients by conducting robust background checks, putting contractual agreements in place, and performing regular reviews to ensure suppliers of key functions are up to the task and can meet your expectations and Financial Advice Provider (FAP) obligations. As a FAP, you remain responsible for any functions that you outsource.
Financial Markets Conduct Exemption Notice 2021: Southern Pastures.
Corporate Trustees Exemption Notice 2021
The notice exempts Christchurch City Holdings Limited (CCHL), subject to conditions, from the disclosure, governance, and financial reporting requirements in Parts 3, 4 and 7 of the Financial Markets Conduct Act 2013 (the Act) in relation to offers of ‘sustainable’, ‘sustainability’, ‘green’ ‘social’, or similar bonds (Sustainable Bonds) issued under CCHL’s sustainability framework (Sustainability Framework).