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The guidance library contains FMA guidance notes, information sheets, guides and other useful reference material.
The AML/CFT enhanced customer due diligence guideline assists you to conduct enhanced customer due diligence (EDD) on your customers under the Anti-Money Laundering and Countering Financing of Terrorism (AML/CFT) Act 2009 (the Act).
New Zealand companies are incorporated under the Companies Act 1993. Overseas companies that carry on business in New Zealand are also required to be registered under Part 18 of the Companies Act. Customer Due Diligence - Companies Section 11 of the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (the Act) requires you to conduct CDD on: - a customer; - any beneficial owner of a customer; - any person acting on behalf of a customer.
The AML/CFT beneficial ownership guideline and associated fact sheets are to assist reporting entities in meeting the requirement to perform customer due diligence on the customer and beneficial owners of the customer under sections 11-26 of the Anti-Money Laundering and Countering Financing of Terrorism Act 2009.
Effective liquidity risk management is a fundamental capability that Managed Investment Scheme (MIS) managers need to implement, maintain and enhance. The guide is designed to assist managers and supervisors effectively manage and oversee liquidity risk.
This information sheet details compliance expectations of the FMA for scenario analysis disclosures made under the climate-related disclosures (CRD) regime.
This guidance note is intended to help climate reporting entities (CREs) meet their statutory requirement to keep proper climate-related disclosure records at all times.
This guidance outlines our expectations when financial institutions are distributing products and services through intermediated channels under the Conduct of Financial Institutions (CoFI) regime.
Guidance to assist climate reporting entities in understanding what they should consider before engaging a third-party provider to deliver services for the climate-related disclosures.
The FMA’s approach to monitoring the compliance of climate reporting entities with their legislative requirements and reporting obligations for the climate-related disclosures regime.
Guidance and expectations to help FMC reporting entities to meet their statutory requirement to keep proper accounting records at all times.
Guidance on the FMA’s approach to applying and enforcing Code Standard 3 of the Code of Professional Conduct for Financial Advice Services, in relation to financial advice about financial products purchased for investment purposes.
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.
The Monitoring of licensed Financial Advice Providers information sheet explains how we carry out monitoring activities, what we expect of you, and what you can expect from us.
This document provides clarity for auditors about the expectations for information about climate risks in audit files.
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.