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AML/CFT Complying with AML/CFT verification requirements during COVID-19 Alert Levels

This guidance is for reporting entities under the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (AML/CFT Act) during COVID-19 Alert Levels.

Tiger Brokers (NZ) Limited - Formal Warning

FMA issued a formal warning to NZX-accredited broker Tiger Brokers (NZ) Limited for failing to have several adequate anti-money laundering protections in place. 20 March 2020.

Exemption Notice - Centuria Capital Group

Financial Markets Conduct (Centuria Capital Group) Exemption Notice 2020.

2020/21 Annual letter of expectations

Annual letter of expectations from the Minister 2020/21

Exemption Notice - Vital Healthcare Property Trust Restructure Disclosure

Financial Markets Conduct Exemption Notice 2020: Vital Healthcare Property Trust Restructure Disclosure.

Conduct and Culture Review report 2019 - OIA request

OIA response, dated 24/02/2020, asking for a copy of the Bank Conduct and Culture Review (or Life Insurer Conduct and Culture Review) 2019

CE Expenses Disclosure Gifts JulDec19

CE expense disclosure for the period 1 July 2019 - 31 December 2019.

CE Expenses Disclosure Hospitality JulDec19

CE expense disclosure for the period 1 July 2019 - 31 December 2019.

CE Expenses Disclosure Other JulDec19

CE expense disclosure for the period 1 July 2019 - 31 December 2019

CE Expenses Disclosure Travel JulDec19

CE travel expense disclosure for the period 1 July 2019 - 31 December 2019

CPA Australia accredited body report 2020

This report contains the findings of our monitoring assessment of CPA Australia for the period 1 July 2019 to 30 June 2020.

31 December 2019 Disclose Register KiwiSaver fund updates

This document is the Disclose Register for KiwiSaver fund updates for 31 December 2019

31 December 2019 Disclose Register MIS fund updates

Disclose Register MIS fund updates for 31 Dec 2019

Conduct and Culture implementation and planning from banks - OIA request

OIA response, dated 18 December 2019, discussing bank plans and progress on implementation of the Conduct and Culture report changes and what types of action the FMA will take if it is unsatisfied with the outcome or urgency of the banks’ behaviour in establishing or implementing said plans

MIS custody arrangements thematic review 2019

For any managed investment scheme it’s important that scheme property – money and investments – is kept safe. The function of looking after scheme property is called custody. Under the Financial Markets Conduct Act 2013 (FMC Act), custody for retail managed investment schemes is the responsibility of the independent licensed supervisor. This separates custody functions from management of the scheme, and provides an additional layer of protection for investors.

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