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Document Library

A filtered search by topic for all guidance, reports or research documents stored on the FMA website.

Found 1757 results. Displaying page 61 of 118

  3. 31 October 2019

    Supervisor Licensing guidance

    This guidance note is for anyone applying: for a licence to be a supervisor, or to replace an expiring supervisor licence, or to vary an existing supervisor licence.

  5. 30 October 2019

    FMA Annual Report 2019

    The FMA Annual Report 2019 details the results we have achieved against our stated intentions.

  7. 29 October 2019

    FMA Model Litigant Policy

    FMA litigation policy outlines principles guiding legal conduct, reflecting current law without imposing new legal obligations.

  8. 25 October 2019

    Acting on behalf of a customer fact sheet

    A reporting entity is required to verify the identity of persons acting on behalf of a customer and is also required to verify that they have appropriate authority to act on behalf of the customer.

  9. 25 October 2019

    AML/CFT - interpretation of a trust as a customer

    The following is a response made by the AML/CFT supervisors to a query questioning whether a trust can be a customer for the Act’s purposes. This clarification is supplemental to the Trusts Fact Sheet:

  13. 22 October 2019

    ACAMS Conference - OIA response Redacted

    OIA response, dated 22 October 2019, which looks into the FMA’s participation in the October 2019 ACAMS Conference (ACAMS Conference) and more generally about the FMA’s anti-money laundering (AML) regulatory resources.

  15. 4 October 2019

    KiwiSaver Annual Report 2019

    The FMA publishes a report every year based on all providers’ statutory data for the year to the end of March. It summarises our activities as a regulator relating to KiwiSaver during the reporting period.