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Found 77 results. Displaying page 4 of 6

1. 3 September 2024

   AML enforcement 2024 OIA response

   Data relating to the FMA's AML enforcement approach

2. 21 May 2024

   AML Reporting entities 2023 OIA response

   Request relating to AML Reporting entities and their obligations.

3. 3 September 2024

   FMA as supervisor of AML 2024 OIA response

   FMA as supervisor of AML 2024 OIA response

4. 3 September 2024

   AML processes for identity verification OIA 2024 response

   FMA’s verification of identity’s in relation to the Anti-Money Laundering and Countering Financing Terrorism Act 2009

5. 28 September 2018

   AML staff for each financial year - OIA response

   OIA response, dated 28 September 2018, regarding: Numbers of AML staff and HR for each financial year

6. 23 November 2017

   Fullerton Markets Ltd - Warning

   FMA issues formal warning to Fullerton Markets Ltd on 23 Nov 2017 under section 80 of the AML/CFT Act for non-compliance with anti-money laundering laws.

7. 1 June 2014

   FMA’s supervision of Anti-Money Laundering and Countering Financing of Terrorism

   This 2014 document outlines the Financial Markets Authority’s (FMA’s) priorities for monitoring reporting entities under the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (AML/CFT Act).

8. 16 May 2025

   AMLCFT Audit Guideline

   This guidance is to help reporting entities understand the AML/CFT audit (“audit”) requirements in terms of the AntiMoney Laundering and Countering Financing of Terrorism Act 2009 and undertake an effective and credible audit of their risk assessment and AML/CFT programme.

9. 27 December 2017

   Identity Verification Code of Practice Explanatory Note

   Guidance on electronic identity verification under New Zealand’s AML/CFT regime, clarifying biometric sources, safe harbour, and compliance options.

10. 22 November 2019

    Territorial scope of the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 guidance

    This guideline is designed to assist businesses to determine whether they have obligations under the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (“the AML/CFT Act”). Updated November 2019

11. 12 March 2018

    FMA’s media release on 12 March 2018 - OIA response

    OIA response to FMA’s media release on 12 March 2018 regarding the five businesses being warned for Anti-Money Laundering/Countering Financing of Terrorism (AML/CFT) failures. Response dated 5 April 2018.

12. 15 December 2022

    Pencarrow Private Equity Management Limited - Formal Warning

    FMA formally warns Pencarrow Private Equity for AML/CFT record-keeping breaches tied to Fund V investments, April–July 2018.

13. 10 October 2019

    Circle Markets Limited - Formal Warning

    FMA issues formal warning to Circle Markets Ltd on 10 Oct 2019 for AML/CFT Act 2009 breaches under section 80.

14. 11 July 2013

    consultation paper practical implications of reporting entities transacting with other reporting entities and the factsheet on managing intermediaries

    In this paper FMA seeks submissions on the practical implications of the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (‘AML/CFT Act’) in situations where reporting entities are transacting with other reporting entities.

15. 3 September 2024

    FMAs enforcement for AML specifically the stockbroking sector 2024 OIA response

    FMA's enforcement for AML, specifically the stockbroking sector