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Found 616 results. Displaying page 26 of 42

11 September 2019

Director Essentials in Te Reo Maori - IoD

Ka tautoko ngā poari whakahaere rangatōpū pai i te angitu o ngā kaihaumi. Hei hāpai kia tipu ai, kia momoho ai ngā kamupene, me mōhio ngā whakataka ki te whakahaere mōrea me te whai i ngā huarahi mōrea i runga i te wairua takohanga. Ehara te noho hei whakataka i te ingoa noa iho. He matawhānui ngā mahi me ngā herenga matatika, ture, arumoni hoki o te tūnga whakataka. This guide was issued by the FMA and Institute of Directors.
9 September 2019

Growing New Zealands Capital Markets 2029

This report provides an overview of the process and key recommendations which we believe will have a higher impact on the New Zealand capital markets ecosystem in the coming decade
23 August 2019

Standard conditions for independent trustee corporates

FMA’s standard conditions for corporate independent trustees, covering independence, compliance, governance, and reporting requirements.
23 August 2019

Standard conditions for independent trustee individuals

FMA’s standard licence conditions for individual independent trustees, including rules on independence, reporting, training, and compliance.
15 August 2019

Consultation New financial advice regime exemptions

This consultation is for any person giving regulated financial advice or providing client money or property services, and their advisers and interested parties. It seeks feedback on proposed exemption support for the new financial advice regime.
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’).
11 July 2019

Cyber resilience in FMA regulated financial services

This report 2019 summarises the findings of our thematic review of cyber-resilience in New Zealand financial services, and provides guidance for firms in areas where we have identified the need for improvement. It will be useful for our regulated sectors, to help ensure they comply with our expectations and best practice.
11 July 2019

KiwiSaver Fees Comparison Report 2019

The purpose of this report is to report our findings on comparing the KiwiSaver fees with fees for UK Contract Based superannuation schemes.
5 July 2019

Statement on the Kiwi Access Card

Part 1, Section 2 of the amended Identity Verification Code of Practice 2013 (IVCOP) currently refers to the older 18+ card as an example of secondary or supporting form of photographic identification, which is to be used in conjunction with a form of primary nonphotographic identification such as a birth certificate in order to meet the standard set by the IVCOP.
1 July 2019

AML/CFT Annual Report form

This is a form for completion by all AML/CFT reporting entities to the FMA that should be completed and submitted on an annual basis.
1 July 2019

AML/CFT Customer Due Diligence – Clubs and societies

AML CFT customer due diligence for clubs and societies.
1 July 2019

AML/CFT Customer Due Diligence – Co-operatives

AML CFT customer due diligence for co-operatives.
30 June 2019

NZX Obligations Review 2019

Under the FMC Act, we are required to review at least annually how well a licensed market operator is meeting its obligations, and to publish a written report. Broadly, these relate to the areas of operation that are regulatory in nature. Publishing the report provides transparency into our oversight of NZX. This report was published in 2019.
27 June 2019

ICE Futures Europe Obligations Review 2019

ICE Futures U.S., Inc. (IFUS) is licensed to operate the IFUS derivatives market (the derivatives market) in New Zealand. The FMA is required to report, at least once every two years on how well IFUS is meeting its obligations as a licensed market operator.
27 June 2019

ICE Futures US Obligations Review 2019

ICE Futures U.S., Inc. (IFUS) is licensed to operate the IFUS derivatives market (the derivatives market) in New Zealand. The FMA is required to report, at least once every two years on how well IFUS is meeting its obligations as a licensed market operator.