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Squirrel P2P Trustee Limited - Public Warning

FMA warns Squirrel P2P Trustee for failing to obtain required assurance engagements for its custodial service from 2016 to 2020 under FA Regulations.

FMA Annual Report 2021 - preview

Preview of the FMA Annual Report 2021.

Outsourcing CDD to a third party provider Reminder to FMA and DIA reporting entities

While third-party providers can provide a useful service, both the DIA and FMA are aware of an increasing number of reporting entities taking a view that the third-party provider “just takes care of it all” and that all CDD requirements are then met. This is not the case. Read more about outsourcing your CDD requirments.

AML/CFT Sector Risk Assessment 2021

Our Sector Risk Assessment (SRA) helps us and the Reporting Entities we supervise understand the risks of money-laundering (ML) and terrorism financing (TF) in each sector. This SRA replaces our SRA published in 2017.

Accredited Body Report – New Zealand Institute of Chartered Accountants 2021

Findings from the FMA’s review of the adequacy and effectiveness of NZICA’s audit regulatory systems for the period 1 July 2020 to 30 June 2021

Accredited Body Report - CPA Australia 2021

Findings from the FMA’s review of the adequacy and effectiveness of CPA Australia’s audit regulatory systems for the period 1 July 2020 to 30 June 2021

CE Expense Disclosure Hospitality Rob Everett 1 Jul to 31 Oct 21

CE Expense Disclosure Summary Rob Everett 1 Jul to 31 Oct 21

CE Expense Disclosure Other Rob Everett 1 Jul to 31 Oct 21

CE Expense Disclosure Travel Rob Everett 1 Jul to 31 Oct 21

Consumer IPO information and guide

This investor guide tells you what you need to know before investing in a new share offer

Exemption Notice - Financial Markets Conduct Pegasus Health Membership Limited

Financial Markets Conduct (Pegasus Health Membership Limited) Exemption Notice 2021

Record keeping self assessment tool

Keeping accurate records of the financial advice you provide helps maintain a relationship of transparency and trust with your clients. It also ensures you can provide evidence of how you have complied with your licensee obligations as and when required. Use this self-assessment tool to see if you’re ready to complete the record keeping section of your Class 1 or Class 2 FAP full licence application. It should help you identify areas of strength or weakness in your full licence preparation so you can seek further help or advice and address any gaps before you apply.

Exemption Notice - FNZ Group 2021

This notice is the Financial Markets Conduct (FNZ Group) Exemption Amendment Notice 2021.

Self assessment tool key outsourcing arrangements

As a small business, we expect you’ll need to outsource some functions to third parties. It’s important that you protect your reputation and your clients by conducting robust background checks, putting contractual agreements in place, and performing regular reviews to ensure suppliers of key functions are up to the task and can meet your expectations and Financial Advice Provider (FAP) obligations. As a FAP, you remain responsible for any functions that you outsource.

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