Back

Document Library

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

Close advanced search

Found 73 results. Displaying page 1 of 5

  1. 15 December 2022

    DBG formation and change guideline 2022

    This guideline 2022 is designed to help reporting entities forming a designated business group (DBG) to understand the process for doing so. Entities may form a DBG if they are eligible to do so under the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (the AML/CFT Act) and associated regulations.

    https://www.fma.govt.nz/assets/Guidance/DBG-formation-and-change-guideline-2020.pdf (177 KB)

    Tags
    AML/CFT, Obligations, Roles, Business, Designated Business Group (DBG)
    Type
    PDF, Guidance

  4. 16 September 2022

    Climate related disclosures implementation approach

    The Financial Sector (Climate-related Disclosures and Other Matters) Amendment Bill (CRD Bill) received Royal assent on 27 October 2021. This document briefly explains the Financial Sector (Climate-related Disclosures and Other Matters) Amendment Act 2021 (the CRD legislation) and outlines the Financial Markets Authority’s (FMA) implementation approach for the CRD regime over a period of approximately 4 years, through to 2025/26. It sets out the roles and responsibilities of the various government agencies, to help industry understand ‘who is doing what’ with regard to CRD.

    https://www.fma.govt.nz/assets/Guidance/Climate-related-disclosures-implementation-approach.pdf (1.2 MB)

    Tags
    Authorised body under a FAP, Client money or property services provider, Directors, Banking, Roles, Offer disclosure for equity and debt offers, Insurance Providers, Business, FMA
    Type
    PDF, Guidance

  5. 16 August 2022

    Banks, building societies and credit unions Climate Reporting Entities Flow Chart

    This flow chart, for Banks, building societies and credit unions, is to help determine if your organisation is a Climate Reporting Entity. This chart is only for guidance. It should not be considered to be, or relied on as, legal advice. Please ensure you undertake your own due diligence.

    https://www.fma.govt.nz/assets/Guidance/Banks-building-societies-credit-unions-Climate-Reporting-Entities-Flow-Chart.pdf (118 KB)

    Tags
    Banking, Climate related disclosure, Offer disclosure for equity and debt offers, Insurance Providers, Roles, Business
    Type
    PDF, Guidance

  6. 16 August 2022

    Managed Investment Scheme (MIS) Manager Climate Reporting Entities Flow Chart

    This flow chart, for Managed Investment Scheme (MIS) Managers, is to help determine if your organisation is a Climate Reporting Entity. This chart is only for guidance. It should not be considered to be, or relied on as, legal advice. Please ensure you undertake your own due diligence.

    https://www.fma.govt.nz/assets/Guidance/MIS-Manager-Climate-Reporting-Entities-Flow-Chart.pdf (124 KB)

    Tags
    Managed investment schemes, KiwiSaver providers, Climate related disclosure, Roles, Business
    Type
    PDF, Guidance

  7. 16 August 2022

    Licensed Insurer Climate Reporting Entities Flow Chart

    This flow chart, for Licensed Insurers, is to help determine if your organisation is a Climate Reporting Entity. This chart is only for guidance. It should not be considered to be, or relied on as, legal advice. Please ensure you undertake your own due diligence.

    https://www.fma.govt.nz/assets/Guidance/Licensed-Insurer-Climate-Reporting-Entities-Flow-Chart.pdf (205 KB)

    Tags
    Insurance Providers, Climate related disclosure, Business
    Type
    PDF, Guidance

  8. 16 August 2022

    Listed Issuer Climate Reporting Entities Flow Chart

    This flow chart, for Listed Issuers, is to help determine if your organisation is a Climate Reporting Entity. This chart is only for guidance. It should not be considered to be, or relied on as, legal advice. Please ensure you undertake your own due diligence.

    https://www.fma.govt.nz/assets/Guidance/Listed-Issuer-Climate-Reporting-Entities-Flow-Chart-.pdf (125 KB)

    Tags
    Derivative Issuer, Climate related disclosure, Roles, Offer disclosure for equity and debt offers, Insurance Providers, Business
    Type
    PDF, Guidance

  9. 23 June 2022

    Cyber Security and Operational Systems Resilience June 2022

    This information sheet assists market services licensees (excluding benchmark administrators) licensed under Part 6 of the Financial Markets Conduct Act 2013 (FMC Act) to enhance the resilience of their cyber and operational systems. While this information sheet is designed to apply to a broad range of sectors, entities with complex cyber security and operational systems should consider the specific technology requirements and obligations that apply to their sector.

    https://www.fma.govt.nz/assets/Guidance/Cyber-Security-and-Operational-Systems-Resilience-June-2022.pdf (212 KB)

    Tags
    Auditors, Authorised body under a FAP, Client money or property services provider, Crowdfunding providers, Cryptocurrencies, Directors, Derivative Issuer, Discretionary investment management scheme (DIMS), Offer disclosure for equity and debt offers, Financial Advice Provider, Financial Adviser, Financial market infrastructures, Interposed persons under new financial advice regime, Managed investment schemes, Market operator, Peer-to-peer lending service providers, Roles, Business
    Type
    PDF, Guidance

  12. 9 July 2021

    Regulation for nominee directors and nominee general partners 2021

    Reporting entities will be expected to comply with the new regulation as soon as possible from 9 July 2021. However, in recognition that reporting entities will need to amend their processes and procedures (and potentially systems), a transitional compliance period will apply until 29 April 2022.

    https://www.fma.govt.nz/assets/Guidance/Regulation-for-nominee-directors-and-nominee-general-partners-2021.pdf (363 KB)

    Tags
    AML/CFT, Roles, Reporting entities, Business
    Type
    PDF, Guidance

  13. 1 July 2021

    AML.CFT Regulation Update 2021

    New Zealand’s Anti-Money Laundering and Countering Financing of Terrorism (AML/CFT) system is intended to adapt as money laundering and terrorism financing risks evolve. Two regulations, that are a key part of the AML/CFT system, were due to expire. These are the AML/CFT (Exemptions) Regulations 2011 which were scheduled to expire on 30 June 2020, and the AML/CFT (Definitions) Regulations 2011 which partially expire on 27 July 2021.

    https://www.fma.govt.nz/assets/Guidance/AML.CFT-Regulation-Update-2021.pdf (215 KB)

    Tags
    AML/CFT, Directors, Monitoring, Regulation updates, Roles, Business
    Type
    PDF, Guidance

  14. 13 April 2021

    Managed fund fees and value for money guidance 2021

    Guidance and principles to help managers and supervisors of KiwiSaver schemes and other managed investment schemes to demonstrate how they are meeting their existing obligations, statutory duties, and conduct expectations in respect of fees and value for money. Published in April 2021.

    https://www.fma.govt.nz/assets/Guidance/Managed-fund-fees-and-value-for-money-guidance.pdf (1.8 MB)

    Tags
    KiwiSaver providers, Supervisor, Managed investment schemes, Roles, Business
    Type
    PDF, Guidance