Document Library

FMA Complaints Policy 2023 OIA response

Request for the FMA’s Complaints Policy

FMAs Climate Response 2023 OIA response

Request relating Climate Action in the Financial Markets.

Supervisory approach new AMLCFT Regs 17 May 2024

The Department of Internal Affairs, the Financial Markets Authority and the Reserve Bank of New Zealand (‘the Supervisors’) welcome the changes to AML/CFT requirements as a result of the various Amendment Regulations coming into force on 1 June 2024.

Guidance note for reporting entities Notifying customer of asset freeze or blocked transaction

FMA, DIA and RBNZ – along with their partner agencies – MFAT and NZ Police – have provided a Guidance Note for duty holders that are AML/CFT reporting entities. The Guidance Note specifically relates to notifying a customer of an asset freeze or blocked transaction under the Russia Sanctions Act.

AML/CFT Customer Due Diligence – Trusts

This guideline is intended to support reporting entities1 to conduct customer due diligence (CDD) under the Anti-Money Laundering and Countering Financing of Terrorism (AML/CFT) Act 2009 (the Act) on their customers who are trusts.

Financial Markets Conduct Abacus Storage King Exemption Notice 2024

The Financial Markets Conduct (Abacus Storage King) Exemption Notice 2024 (Notice) exempts Abacus Storage Operations Limited (ASOL) and Abacus Storage Property Trust (the Trust) (together the issuers), and Abacus Storage Funds Management Limited (ASFML) (as responsible entity for the Trust under Australian law) from compliance with the disclosure requirements in Part 3 of the Financial Markets Conduct Act 2013 Act (Act), and exempts the Trust and ASFML from compliance with the governance requirements for managed investment schemes in Part 4 of the Act. The exemptions apply only to offers of stapled securities (each consisting of a share in ASOL and a unit in the Trust) which are made under an employee security plan established by the issuers to certain eligible persons in New Zealand (Abacus Storage King ESP).

AML/CFT Enhanced Customer Due Diligence Guideline

This guideline assists you to conduct enhanced customer due diligence (enhanced CDD) on your customers under the Anti-Money Laundering and Countering Financing of Terrorism (AML/CFT) Act 2009 (the Act). Published October 2022.

AMLCFT Limited Partnerships CDD Guideline April 2024

AML/CFT Customer Due Diligence – Companies

This guidance assists reporting entities to conduct customer due diligence (CDD) under the AML/CFT Act 2009 on their customers who are companies. Published Oct 2022.

BNZ Investment Services Limited Notice under section 68 of the FMC Act 2013

BNZ Investment Services Limited Notice under section 68 of the FMC Act 2013. Published in April 2024

Beneficial ownership guideline

This guideline is to assist reporting entities in meeting the requirement to perform customer due diligence on the customer and beneficial owners of the customer under sections 11-26 of the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (‘the Act’).

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