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FMA Annual Report 2019

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

Steven Robertson - High Court sentencing notes

High Court sentencing notes in the case against Steven Robertson, 30 October 2019.

FMA Model Litigant Policy

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

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.

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:

Exemption notice - Financial Markets Conduct (trueEX LLC)

Financial Markets Conduct (trueEX LLC) Exemption Notice 2019

Exemption notice - Financial Markets Conduct (Masthead Joint Venture)

Financial Markets Conduct (masthead Joint Venture) Exemption Notice 2019

Exemption Notice - Obsidian Contributory Mortgage Scheme

Financial Markets Conduct Exemption Notice 2019: Obsidian Contributory Mortgage Scheme.

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.

Circle Markets Limited - Formal Warning

FMA issues formal warning to Circle Markets Ltd on 10 Oct 2019 for AML/CFT Act 2009 breaches under section 80.

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.

Psychometric testing - OIA request

OIA response, dated 4 October 2019, which psychometric testing occurred as part of initiatives by the FMA and costs associated during the period 1 July 2017 to 30 June 2019

30 September 2019 Disclose Register Kiwisaver fund updates

This document is the Disclose Register for KiwiSaver fund updates for 30 September 2019

Exemption notice - Financial Markets Conduct (Insider Trading – Livestock Improvement Corporation Limited)

Financial Markets Conduct (Insider Trading - Livestock Improvement Corporation Limited) Exemption Notice 2019

Eoin Malcolm Miller Johnson - Enforceable Undertaking

Enforceable Undertaking by Eoin Malcolm Miller Johnson on 27 August 2019.

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