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1. 16 July 2021

   Birth Certicate Redaction Factsheet

   The Anti-Money Laundering and Countering the Financing of Terrorism (AML/CFT) Supervisors have produced this factsheet to confirm their position is that certain details may be redacted by a customer from their birth certificate if it is used for identity verification purposes when conducting customer due diligence.

2. 22 October 2019

   ACAMS Conference - OIA response Redacted

   OIA response, dated 22 October 2019, which looks into the FMA’s participation in the October 2019 ACAMS Conference (ACAMS Conference) and more generally about the FMA’s anti-money laundering (AML) regulatory resources.

3. 1 December 2012

   Issuers of securities and participants in issues guideline

   This guideline is for businesses registered on the Financial Services Providers Register (FSPR) as an issuer of securities or who participate in issues of securities. If you are either of them, this guideline will help you to determine if you have obligations under the Anti-Money Laundering and Countering the Financing of Terrorism Act 2009 (AML/CFT Act).

4. 30 June 2020

   Consultation Joint response to managing intermediaries 11 nov 2013

   The Financial Markets Authority published a consultation paper on 11 July 2013 concerning certain obligations under the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (‘AML/CFT Act’). The paper dealt with the obligations of reporting entities that transact with other reporting entities.17 submissions were received from market participants, industry bodies, law firms and consultants. This paper details the responses.

5. 17 May 2024

   Supervisory approach new AMLCFT Regs 17 May 2024

   The Department of Internal Affairs, the Financial Markets Authority and the Reserve Bank of New Zealand (‘the Supervisors’) welcome the changes to AML/CFT requirements as a result of the various Amendment Regulations coming into force on 1 June 2024.

6. 9 August 2019

   Guidance on Expired Passports as Identification for Customer Due Diligence

   The AML/CFT supervisors have become aware of the need for clear guidance on the use of expired passports as part of Customer Due Diligence procedures and how it relates to the Amended Identity Verification Code of Practice 2013 (‘the code’).

7. 19 October 2022

   InvestNow Saving and Investment Service Limited - Warning

   Formal warning from FMA to InvestNow Saving and Investment Service Limited for failing to comply with anti-money laundering.

8. 12 December 2017

   Open letter to managers of collective investment schemes

   Open letter to managers of collective investment schemes ahead of the anti-Money laundering and Countering Financing Terrorism Act 2009.

9. 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.

10. 1 October 2020

    COVID-19: Timetable of deferred Regulatory initiatives

    FMA defers AML reporting, insurer reviews, scheme reports, and consultation deadlines due to Covid-19 Alert Levels in Aug–Sept 2021.

11. 1 October 2014

    Getting the best outcome from your AMLCFT Audit

    This information is intended to help our REs, especially small financial adviser businesses, get value from their AML/CFT Audit. Adopting all (or any) of these items in discussions with auditors is optional, but we believe that by considering these suggestions, REs are more likely to achieve the best possible results from their audit.

12. 2 October 2024

    Wire transfer guidance for new regulations

    Guidance for the new regulations relating to wire transfers in the Anti Money Laundering and Countering Financing of Terrorism (Requirements and Compliance) Regulations 2011.

13. 20 August 2021

    Sharesies Limited - Formal Warning

    FMA issued a formal warning to Sharesies Limited and Sharesies Nominee Limited for failing to have sufficient anti-money laundering procedures, policies, and controls in place.

14. 20 March 2020

    Tiger Brokers (NZ) Limited - Formal Warning

    FMA issued a formal warning to NZX-accredited broker Tiger Brokers (NZ) Limited for failing to have several adequate anti-money laundering protections in place. 20 March 2020.

15. 2 May 2016

    Craigs - Settlement Agreement

    Craigs and FMA Settlement agreement,following an investigation into potential breaches of Anti-Money Laundering and Countering Financing of Terrorism Act 2009 in relation to Craigs. 2 May 2016.