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Page last updated: 29 April 2024

Guidance

The guidance library contains FMA guidance notes, information sheets, guides and other useful reference material.

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Found 170 results. Displaying page 2 of 12

  1. Guidance

    30 November 2022

    Fair conduct programmes

    Information and examples to help banks, insurers and NBDTs establish, implement and maintain their fair conduct programmes as part of their financial institution licence obligations.
  4. Guidance

    11 August 2022

    Introductory guide to full licence requirements

    This guide is for businesses or individuals applying for a Financial Advice Provider (FAP) full licence. It explains how to complete your online application, including the information you will need at the time you apply when full licensing opens from 15 March 2021.

  5. 8 July 2022

    Approach to oversight of financial statements

    In this document we provide a summary of our main work in monitoring compliance with financial reporting obligations by FMC reporting entities and registered schemes (regulated entities) from 2022-2025.
  6. Guidance

    23 June 2022

    Cyber security and operational systems resilience

    This information sheet assists market services licensees (excluding benchmark administrators) licensed under Part 6 of the Financial Markets Conduct Act 2013 (FMC Act) to enhance the resilience of their cyber and operational systems. While this information sheet is designed to apply to a broad range of sectors, entities with complex cyber security and operational systems should consider the specific technology requirements and obligations that apply to their sector.
  7. Guidance

    26 May 2022

    Record keeping for financial advice providers

    This information sheet sets out our expectations for how licensed financial advice providers (FAPs) can demonstrate compliance with the standard condition for record keeping.
  10. Guidance

    10 December 2021

    Outsourcing CDD to a third-party provider

    Section 34 of the AML/CFT Act allows a reporting entity to authorise and rely on an agent to conduct CDD procedures on its behalf. An agent is a person that has legal authority to represent another party. If you outsource the above CDD procedures under section 34 to a third-party provider, the provider must be acting as your agent. In these circumstances, you remain responsible for ensuring that the CDD conducted by the third-party provider is undertaken to the level required by the AML/CFT Act. Read the full guidance on this page.
  12. Guidance

    29 October 2021

    High-Risk Jurisdictions subject to a "Call for Action" – FATF

    This guidance is to assist reporting entities comply with the public statement issued by FATF on High-Risk Jurisdictions subject to a “Call for Action” and the subsequent Advisory issued by the Ministry of Justice and the New Zealand Police in this regard.
  14. Guidance

    30 September 2021

    Customer vulnerability – our expectations for providers

    This information sheet explains the FMA’s expectations for financial services firms to prioritise their customer vulnerability practices, focusing on areas we consider immediate priorities, updated Sept 2021.