Document Library

Found 1452 results. Displaying page 8 of 97

1. 20 October 2022

   How to cancel your FMC Act licence

   How to cancel an FMCA Licence.

   https://www.fma.govt.nz/assets/Licensing-guides/How-to-cancel-your-FMC-Act-licence.pdf (136 KB)

   Tags

   Crowdfunding providers, Derivative Issuer, Financial Advice Provider, Independent trustee, Licensing & registration, Roles, Business, Peer-to-peer lending service providers

   Type

   PDF

2. 19 October 2022

   AML CFT warning InvestNow

   Formal warning from FMA to InvestNow Saving and Investment Service Limited for failing to comply with anti-money laundering.

   https://www.fma.govt.nz/assets/Enforcement/Orders/AML-CFT-warning-InvestNow.pdf (343 KB)

   Tags

   AML/CFT, Client money or property services provider, Formal Warning, Roles, Business, Enforcement

   Type

   PDF

3. 12 October 2022

   aml cft programme guideline

   This guideline is designed to help you develop and implement your anti-money laundering and countering financing of terrorism programme (programme) under
   the Anti-Money Laundering and Countering Financing of Terrorism (AML/CFT) Act 2009 (the Act).

   https://www.fma.govt.nz/assets/Guidance/aml-cft-programme-guideline.pdf (438 KB)

   Tags

   AML/CFT, Roles, Reporting entities, Business

   Type

   PDF

4. 12 October 2022

   AML CFT designated business group scope guideline

   This guideline is designed to help reporting entities understand which obligations may be shared by members of a designated business group (DBG).

   https://www.fma.govt.nz/assets/Guidance/AML-CFT-designated-business-group-scope-guideline.pdf (288 KB)

   Tags

   AML/CFT, Designated Business Group (DBG), Roles, Business

   Type

   PDF, Guidance

5. 10 October 2022

   Consultation FAP Regulatory Returns Class 1

   This consultation document is intended for Class 1 licensed financial advice providers (FAPs).

   https://www.fma.govt.nz/assets/Consultations/Consultation-FAP-Regulatory-Returns-Class-1.pdf (301 KB)

   Tags

   Financial Advice Provider, Consultations, Roles, Business

   Type

   PDF

6. 10 October 2022

   Feedback form FAP Regulatory Returns Class 1 Consultation

   Feedback form for proposed regulatory returns for licensed Class 1 financial advice providers (FAPs)

   https://www.fma.govt.nz/assets/Consultations/Feedback-form-FAP-Regulatory-Returns-Class-1-Consultation-.docx (17 KB)

   Tags

   Financial Advice Provider, Consultations, Regulatory returns, Roles, Business

   Type

   Word document

7. 10 October 2022

   Questions for FAP Class 2 regulatory returns

   Questions you will be asked online when you submit your FAP Class 2 regulatory return.

   https://www.fma.govt.nz/assets/Consultations/Questions-for-FAP-Class-2-regulatory-returns.docx (5.8 MB)

   Tags

   Financial Advice Provider, Consultations, Regulatory returns, Roles, Business

   Type

   Word document

8. 10 October 2022

   Feedback form FAP Class 2 Regulatory Returns consultation

   Feedback form for consultation - Class 2 FAP regulatory returns.

   https://www.fma.govt.nz/assets/Consultations/Feedback-form-FAP-Class-2-Regulatory-Returns-consultation.docx (17 KB)

   Tags

   Financial Advice Provider, Consultations, Roles, Business

   Type

   Word document, Feedback form

9. 10 October 2022

   Consultation FAP Class 2 regulatory returns

   This consultation is intended for Class 2 licensed financial advice providers (FAPs).

   https://www.fma.govt.nz/assets/Consultations/Consultation-FAP-Class-2-regulatory-returns.pdf (315 KB)

   Tags

   Financial Advice Provider, Consultations, Regulatory returns, Roles, Business

   Type

   PDF

10. 5 October 2022

    Climate risks and the impact on financial statement audits

    This document provides clarity for auditors about the expectations for information about climate risks in audit files.

    https://www.fma.govt.nz/assets/Guidance/Climate-risks-and-the-impact-on-financial-statement-audits.pdf (247 KB)

    Tags

    Auditors, Climate related disclosure, Roles, Ethical finance, Business

    Type

    PDF

11. 4 October 2022

    KiwiSaver Annual Report 2022

    KiwiSaver Annual Report published by the FMA 2022.

    https://www.fma.govt.nz/assets/Reports/KiwiSaver-Annual-Report-2022.pdf (863 KB)

    Tags

    KiwiSaver providers, Supervisor, Managed investment schemes, Roles, Business

    Type

    PDF

12. 3 October 2022

    Feedback form accounting records consultation

    Feedback form: consultation proposed guidance for keeping proper accounting records.

    https://www.fma.govt.nz/assets/Consultations/Feedback-form-accounting-records-consultation.docx (15 KB)

    Tags

    Auditors, Directors, Consultations, Roles, Business

    Type

    Word document, Financial reporting, Feedback form

13. 3 October 2022

    Consultation paper guidance accounting records

    Consultation paper: Proposed guidance and expectations for keeping proper accounting records

    https://www.fma.govt.nz/assets/Consultations/Consultation-paper-guidance-accounting-records.pdf (427 KB)

    Tags

    Auditors, Directors, Consultations, Roles, Business

    Type

    PDF, Financial reporting

14. 30 September 2022

    Judgment FMA v AIA New Zealand Ltd

    23 September 2022 The Auckland High Court ordered life insurer AIA to pay a pecuniary penalty of $700,000 for making false and/or misleading representations to some customers.

    https://www.fma.govt.nz/assets/Enforcement/Judgements/Judgment-FMA-v-AIA-New-Zealand-Ltd.pdf (346 KB)

    Tags

    Judgment, Enforcement

    Type

    PDF

15. 30 September 2022

    Climate related disclosure Record keeping initial monitoring approach

    FMA's initial monitoring approach for climate-related record keeping - to inform and support new climate reporting entities to meet their statutory reporting requirements.

    https://www.fma.govt.nz/assets/Information-sheets/Climate-related-disclosure-Record-keeping-initial-monitoring-approach.pdf (455 KB)

    Tags

    Ethical finance, Climate related disclosure, Business

    Type

    PDF