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CE Expense Disclosure, Other for Jan - Jun 2021

CE Expense Disclosure, Summary for Jan - Jun 2021

CE Expense Disclosure, Travel for Jan - Jun 2021

Developing cyber resilience for financial advice providers Guidance

This information sheet assists small and medium-sized financial advice providers (FAPs) with enhancing the security and resilience of their technology systems.

Regulators’ discussion on Conduct of Financial Institutions Amendment Bill, Financial Markets Law Conference 2021

Regulators’ discussion on Conduct of Financial Institutions Amendment Bill, Financial Markets Law Conference, Auckland, 26 July 2021

AML/CFT enforcement action - OIA request

OIAP response 26 July 2021 on AMLCFT enforcement action - Requesting information of the sum of AML/CFT enforcement action taken by the FMA

Insurance conduct and culture: Fire and general insurers update PDF

Findings from our evaluation of New Zealand fre and general insurers’ responses to the 2019 Life Insurer Conduct and Culture review

Amended Identity Verification Code of Practice 2013

This code of practice provides a suggested best practice for all reporting entities conducting name and date of birth identity verification on customers (that are natural persons) that have been assessed to be low to medium risk. Identification involves obtaining from the customer a range of information about him or her (“identity information”). Verification involves confirming some of that information against documents, data or information obtained from a reliable and independent source.

Birth Certicate Redaction Factsheet

The Anti-Money Laundering and Countering the Financing of Terrorism (AML/CFT) Supervisors have produced this factsheet to confirm their position is that certain details may be redacted by a customer from their birth certificate if it is used for identity verification purposes when conducting customer due diligence.

FMA Annual Corporate Plan 2021 - 2022

FMA Annual Corporate Plan 2020 - 2021

AML/CFT - New regulation for nominee directors and nominee general partners

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.

Investor Confidence Report 2021

This annual report is intended to measure the level of confidence the New Zealand public have in the New Zealand financial markets along with perceptions and awareness of the FMA. The research is conducted by an exernal provider. This is the Investor confidence survey results published in 2021.

CLSA Premium NZ Ltd - Judgment

High Court Judgment: Financial Markets Authority v CLSAP - 5 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.

FAP Licensing Application Guide Class 1 questions

This document contains the questions you will be asked when applying for a Class 1 Financial Advice Provider full licence.

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