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Document Library

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

Found 1610 results. Displaying page 78 of 108

  2. 21 July 2016

    Auditor General - MOU

    MOU concerning consultation, cooperation and the exchange of information between the FMA and the Auditor General
    Tags
    Regulatory cooperation, FMA
    Type
    PDF, MOU

  4. 5 July 2016

    Kiwisaver Statements survey results 2016

    In May 2016, Colmar Brunton carried out research for the FMA among the general public to understand how KiwiSaver statements are perceived and how people use them.
    Tags
    Reports and Papers, KiwiSaver providers, Roles, Business, Managed investment schemes, News & Insights, Supervisor
    Type
    PDF, Research

  5. 1 July 2016

    AML CFT How to complete your annual CFT user guide 1

    This user guide is designed to help financial advisers to complete their annual AML/CFT report (annual
    report) quickly and easily. It clarifies the questions in the report template that may be open to interpretation and identifies questions that are unlikely to be relevant to small financial adviser businesses. It does not include the questions that don’t need explanation. This guide is current for 2016.
    Tags
    AML/CFT, Roles, Business
    Type
    PDF, Resource

  7. 1 July 2016

    Staff and board members gifts and hospitality - OIA response

    OIA response, dated 6 July 2018, to a request regarding FMA’s policy surrounding staff and board members accepting gifts and/or hospitality and, a list of any gifts and/or hospitality accepted staff and board members since 1 July 2016.
    Tags
    FMA
    Type
    PDF, OIA

  9. 30 June 2016

    aml cft annual report user guide 2016

    This user guide can be used as a reference for AML CFT reporting entities when completing their annual report
    Tags
    AML/CFT, Roles, Reporting entities, Business
    Type
    PDF, Information Sheet

  12. 29 June 2016

    NZX Obligations Review 2016

    Under the FMC Act, we are required to review at least annually how well a licensed market operator is meeting its obligations, and to publish a written report. Broadly, these relate to the areas of operation that are regulatory in nature. Publishing the report provides transparency into our oversight of NZX. This report was published in 2016.
    Tags
    Reports and Papers, Market operator, Roles, Monitoring, Business, News & Insights
    Type
    PDF

  13. 29 June 2016

    Replacing life insurance - who benefits?

    This 2016 report from the FMA raises concerns about the extent of replacement business in the life insurance industry.
    Tags
    Roles, Financial Institutions, Business
    Type
    PDF, Report