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OIA response to FMA’s media release on 12 March 2018 regarding the five businesses being warned for Anti-Money Laundering/Countering Financing of Terrorism (AML/CFT) failures. Response dated 5 April 2018.
Financial Markets Conduct (Arria NLG Limited Scheme) Exemption Notice 2018
The Corporate Governance Handbook is a practical guide for directors and executives to apply corporate governance principles.
Summarises feedback and FMA responses to the consultation on the updated Corporate Governance Handbook, with full individual submissions included.
A summary of submissions on the second consultation on the exemption to enable personalised digital advice.
This regulatory impact statement (RIS) is for financial adviser entities, advisers, and other interested parties. It discusses an exemption to enable the provision of personalised digital advice services.
The Conduct Outcomes Report outlines how we responded to the areas of misconduct we saw during 2017. It covers our enforcement action, monitoring and supervision work, and our activities to address risks and harms on our regulatory perimeter. It also includes good practice suggestions for licensed financial service providers, and sets out where we will focus our energies in 2018.
The notice approves changes to the FSM Rules that were provided to the FMA by NZX for approval on 22 Dec 2017. These changes will be incorporated into the FSM Rules at a future date to be determined by the NZX.
CE expenses disclosure for the period 1 July 2017 - 31 December 2017
Financial Advisers (Australian Qualified Advisers) Exemption Notice 2018.
Financial Markets Conduct Exemption Notice 2018 - trueEX LLC.
MOU concerning consultation, cooperation and the exchange of information between the FMA and New Zealand Police
Financial Markets Conduct (Shares in Investment Companies) Designation Amendment Notice 2018
This information sheet explains the class notice which designates certain shares in investment companies as managed investment products, and the company which issues them as a managed investment scheme.
This guide is designed to help financial advisers working independently or in a small business comply with their obligations under the Anti-Money Laundering and Countering the Financing of Terrorism Act 2009 (the AML/CFT Act) and associated regulations (together AML/CFT law).