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Reports and papers

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This section contains our reports, research papers and data tools.

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Found 76 results. Displaying page 2 of 4

    • Monitoring and compliance
    • Corporate governance

    15 November 2017

    Investigation into certain trading conduct of Goldman Sachs New Zealand Limited

    During our investigation into Mark Warminger, we saw trading activity by Goldman Sachs that gave cause for concern and warranted further investigation. This activity may have presented a false or misleading appearance of the price and supply of securities, which is why it came to our attention. Read more.

    https://www.fma.govt.nz/news-and-resources/reports-and-papers/goldman-sachs/

    • AML/CFT
    • Monitoring and compliance

    4 July 2017

    AML/CFT - Sector Risk Assessment

    Our AML/CFT SRA 2017 is an important document that provides general information and specific examples to assist reporting entities (REs) in the nine sectors we supervise for anti-money laundering and counter-financing of terrorism (AML/CFT). It will assist REs to prepare and review their individual assessments of the risks of AML/CFT under sections 58 and 59 of the AML/CFT Act.

    https://www.fma.govt.nz/news-and-resources/reports-and-papers/amlcft-sector-risk-assessment/