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13 May 2024

Report a scam

If you suspect you have been targeted by an investment or financial scam, report the scam to the FMA.

Tags

Suspected scam, Scams

Type

Page
13 May 2024

Guidance note for reporting entities Notifying customer of asset freeze or blocked transaction

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.

Tags

AML/CFT, Roles, Authorised body under a FAP, Client money or property services provider, Crowdfunding providers, Derivative Issuer, Discretionary investment management scheme (DIMS), Business, Managed investment schemes, Peer-to-peer lending service providers

Type

PDF, Guidance
- Suspected scam
13 May 2024

Fake Celebrity Investment Scam – Multiple trading platforms
The FMA has received several reports regarding fake celebrity or fake influencer endorsement advertisements on social media, promoting online investment schemes.
Tags

Suspected scam, Investor warning, Consumer, Scams

Type

Page
13 May 2024

Guidance Note: For duty holders that are AML/CFT reporting entities

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.

Tags

AML/CFT, News, Roles, Authorised body under a FAP, Client money or property services provider, Derivative Issuer, Discretionary investment management scheme (DIMS), Business, Managed investment schemes, News & Insights, Peer-to-peer lending service providers

Type

Page, Guidance
10 May 2024

CapitalGroup DBG

CapitalGroup DBG and the following entities are under DBG and the AML reporting entities list.

Tags

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

Type

Page
10 May 2024

AML/CFT customer due diligence: trusts

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.

Tags

AML/CFT, Roles, Independent trustee, News, Business, News & Insights

Type

Page, Guidance
10 May 2024

AML/CFT Customer Due Diligence – Trusts

This guideline is intended to support reporting entities1
to conduct customer due diligence (CDD) under the Anti-Money Laundering and Countering Financing of Terrorism (AML/CFT) Act 2009 (the Act) on their customers who are trusts.

Tags

AML/CFT, Compliance, Obligations, Roles, Business

Type

PDF, Information Sheet
10 May 2024

Jarden Wealth DBG

Jarden Wealth DBG includes Jarden Wealth Limited
(FSP1006426), Jarden Structured Investments Limited

Tags

Reporting entities, Roles, Business, Designated Business Group (DBG)

Type

Page
9 May 2024

Financial Markets Conduct (Abacus Storage King) Exemption Notice 2024

The Financial Markets Conduct (Abacus Storage King) Exemption Notice 2024 (Notice) exempts Abacus Storage Operations Limited (ASOL) and Abacus Storage Property Trust (the Trust) (together the issuers), and Abacus Storage Funds Management Limited (ASFML) (as responsible entity for the Trust under Australian law) from compliance with the disclosure requirements in Part 3 of the Financial Markets Conduct Act 2013 Act (Act)

Tags

Exemptions, Business

Type

Page
9 May 2024

Financial Markets Conduct Abacus Storage King Exemption Notice 2024

The Financial Markets Conduct (Abacus Storage King) Exemption Notice 2024 (Notice) exempts Abacus Storage Operations Limited (ASOL) and Abacus Storage Property Trust (the Trust) (together the issuers), and Abacus Storage Funds Management Limited (ASFML) (as responsible entity for the Trust under Australian law) from compliance with the disclosure requirements in Part 3 of the Financial Markets Conduct Act 2013 Act (Act), and exempts the Trust and ASFML from compliance with the governance requirements for managed investment schemes in Part 4 of the Act. The exemptions apply only to offers of stapled securities (each consisting of a share in ASOL and a unit in the Trust) which are made under an employee security plan established by the issuers to certain eligible persons in New Zealand (Abacus Storage King ESP).

Tags

Type

PDF, Exemption notice
8 May 2024

2040 Ventures Limited

2040 Ventures Limited (previous named: LANCE WIGGS CAPITAL MANAGEMENT LIMITED) is an AML reporting entity

Tags

AML/CFT, Reporting entities, Roles, Business

Type

Page
8 May 2024

Blockchain Funds Management Scheme DBG

Blockchain Funds Management Scheme DBG including:T3P Limited, and T3P Trustee Limited

Tags

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

Type

Page
8 May 2024

KOIOS FINANCE LIMITED

KOIOS FINANCE LIMITED (previously Koru Finance Limited) is an AML/CFT reporting entity.

Tags

Type

Page
6 May 2024

Statement of Intent 2013 - 2016

Our SOI has a four-year outlook and follows the SRO by identifying the performance measures we will use to mark our progress towards achieving our regulatory objectives. This is our 2013 - 2016 report.

Tags

Type

PDF, Statement of intent, Corporate publications
6 May 2024

Statement of Intent 2014 - 2018

Our SOI has a four-year outlook and follows the SRO by identifying the performance measures we will use to mark our progress towards achieving our regulatory objectives. This is our 2014 - 2018 report.

Tags

Type

PDF, Statement of intent, Corporate publications