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Found 135 results. Displaying page 3 of 9

1. 25 October 2019

   AML/CFT - interpretation of a trust as a customer

   The following is a response made by the AML/CFT supervisors to a query questioning whether a trust can be a customer for the Act’s purposes. This clarification is supplemental to the Trusts Fact Sheet:

2. 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’).

3. 1 February 2018

   Designation of certain shares in investment companies as managed investment products information sheet

   This information sheet explains the class notice which designates certain shares in investment companies as managed investment products, and the company which issues them as a managed investment scheme.

4. 1 August 2019

   Identity Verification Code of Practice - OIA request

   OIA response, dated 1 August 2019, where we provided information about the Identity Verification Code of Practice, as well as the Explanatory Note

5. 2 May 2025

   FMA v Westpac - Judgment

   Westpac is to pay a penalty of $3.25 million for misleading customers entitled to advertised discounts as well as overcharging some of its business customers.

6. 18 November 2019

   Audit quality Director's guide 2019

   The Audit Quality Directors Guide 2019 handbook is aimed at directors of FMCreporting entities. It sets out how you, as a director, can contribute to the quality of your audit, as well as what you can expect from the FMA and your auditor.

7. 12 November 2020

   Audit Quality Director's Guide 2020

   The Audit Quality Directors Guide 2020 handbook is aimed at directors of FMC reporting entities. It sets out how you, as a director, can contribute to the quality of your audit, as well as what you can expect from the FMA and your auditor.

8. 25 October 2011

   Securities commission Annual Report 2011

   The annual report as published by the Securities Commission in 2011.

9. 27 June 2023

   Consumer Guide Capital Notes

   Capital notes and similar products such as perpetual subordinated notes or hybrid securities.

10. 1 March 2011

    Good character and criminal convictions guidance note

    The guidance note is intended to answer some of the queries the Commission has received regarding the assessment of good character, as well as provide further guidance on the information applicants need to provide to the Commission in relation to criminal convictions.

11. 10 December 2015

    Consultation Class designation of shares to MIPs in an MIS

    FMA consults on class designations treating shares as managed investment products, seeking feedback on regulatory impact and implications.

12. 1 December 2014

    Transition to fmc act other types mis information sheet

    Timeline for other types of MIS to transition to the FMC Act. Other types of MIS includes a range of schemes, often tightly focused – eg property and forestry schemes. Note, excludes property and forestry schemes structured as companies (who generallyare classed as equity issuers).

13. 17 January 2023

    Supervisors Licence Public Trust

    Public Trust is licensed to act as supervisor for debt securities, registered schemes, and retirement villages in New Zealand.

14. 30 June 2016

    aml cft annual report user guide 2016

    This user guide can be used as a reference for AML CFT reporting entities when completing their annual report

15. 9 July 2021

    AML/CFT - New regulation for nominee directors and nominee general partners

    Reporting entities will be expected to comply with the new regulation as soon as possible from 9 July 2021. However, in recognition that reporting entities will need to amend their processes and procedures (and potentially systems), a transitional compliance period will apply until 29 April 2022.