Document Library

AML CFT How to complete your annual CFT user guide 1

2016 AML/CFT guide helps NZ financial advisers easily complete annual AML/CFT reports, clarifying key questions for small firms.

Exemption Notice - Financial Markets Conduct Beca Group Superannuation Plan

Financial Markets Conduct (Beca Group Superannuation Plan) Exemption Notice 2016

30 June 2016 Disclose Register Kiwisaver fund updates

This document is the Disclose Register for KiwiSaver fund updates for 30 June 2016

Justin William Prain and Mark Joseph Schroeder - Appeal Judgment

Judgment in the Court of Appeal in the case against Justin William Prain and Mark Joseph Schroeder 16 June 2016.

aml cft annual report user guide 2016

This user guide can be used as a reference for AML CFT reporting entities when completing their annual report

Replacing life insurance who benefits

NZX Obligations Review 2016

Under the FMC Act, we are required to review at least annually how well a licensed market operator is meeting its obligations, and to publish a written report. Broadly, these relate to the areas of operation that are regulatory in nature. Publishing the report provides transparency into our oversight of NZX. This report was published in 2016.

UDC Finance Limited Waiver Notice - consideration complete / reduction of waiting period

FMA waiver notice for UDC Finance under FMC Act section 68 confirms early PDS consideration and reduced waiting period as of June 2016.

Class exemptions- recognising existing regulation of overseas issuers

FMA approves class exemptions that recognise existing regulation of overseas issuers

Exemption notice - Financial Markets Conduct Investore Property Limited

Financial Markets Conduct (Ivestore Property Limited) Exemption Notice 2016

Financial Markets Conduct - Tonga Development Bank Ave Paanga Pau Vouchers Designation Notice 2016

This notice declares that the Ave Pa'anga Pau Vouchers issued by Tonga Development Bank are not a financial product for the purposes of the FMC Act 2013.