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The guidance library contains FMA guidance notes, information sheets, guides and other useful reference material.
This information sheet provides information and examples to help financial service providers licensed under the Financial Markets Conduct Act 2013 ensure consumers are treated fairly when they make a complaint.
Businesses can take many forms and may vary in size and complexity. The AML/CFT customer due diligence: sole traders and partnerships fact sheet focuses on the three business types - Sole trader, partnership and limited partnership. The fact sheet should be read in conjunction with the beneficial ownership guideline.
This guideline is designed to help reporting entities forming a designated business group (DBG) understand the process for doing so.
A co-operative is a form of business organisation that is owned and controlled by its shareholders or members, and run for their mutual benefit. The AML/CFT customer due diligence: co-operatives fact sheet may be useful when considering customers who are mutual organisations or friendly societies.
The AML/CFT customer due diligence: clubs and societies provides guidance for clubs and societies. The type of entity the club or society is will determine the customer due diligence (CDD) that is undertaken.
This guideline is designed to assist reporting entities to understand which obligations may be shared by members of a designated business group (DBG).
This guidance is for financial institutions that operate as providers of online marketplaces. It explains how to comply with the Anti-Money Laundering and Countering Financing of Terrorism (AML/CFT) Act 2009.
This guide is for Discretionary Investment Management Service (DIMS) licence holders. It explains how to complete online limit break and related-party transaction reporting, and the information you will need at the time you submit.
This guidance explains our interpretation of the law, to ensure the requirements of section 212 (Initial steps in winding up of registered scheme) and section 213 (Winding-up report) of the FMC Act are met.
The AML/CFT wire transfers fact sheet describes: what a wire transfer is, who are the parties to a wire transfer and what are the responsibilities placed on reporting entities that are Ordering, Intermediary, or Beneficiary Institutions.
This document sets out guidance for how providers of client money or property services (providers) and custodians can meet their obligations under the Financial Markets Conduct Act 2013 (FMC Act).
An overview of the Climate-related Disclosures Regime and the information contained in climate statements
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.
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.
A trust is an arrangement where a person (the settlor) gives money or property to another person (the trustee), to be held in trust for the benefit of either the trust’s beneficiaries, or a purpose recognised by law. The AML/CFT customer due diligence: trusts fact sheet should be read in conjuction with the beneficial ownership guideline.