Regulatory Documents & Procedures
Comprehensive Official Guidance for All Regulated Entities
OFFICIAL RESOURCES
Compliance Policies & Resources
Access essential regulatory policies, compliance guidelines, and practical resources to ensure your organization’s full compliance with New Zealand’s financial regulations.
Regulatory Framework
Explore the legal structure, key acts, and standards governing all financial service providers in New Zealand.
AML/CFT Guidance
Comprehensive anti-money laundering and counter-terrorism financing guidelines, including risk assessment, monitoring, and reporting obligations. .
Registration Requirements
Step-by-step information and documentation needed for obtaining or maintaining your NZFRA license.
Beneficial Ownership Reporting
Mandatory procedures and reporting standards for beneficial ownership disclosure and ongoing updates.
Annual Audit Checklist
A detailed checklist to support annual regulatory audits, reporting deadlines, and documentation requirements.
Enforcement & Penalties
Clear overview of enforcement actions, administrative penalties, and procedures for regulatory violations.
Access Key Regulatory Documents and Best Practices
Compliance & Licensing Resources
Download Official Guidelines
Access the latest AML/CFT and regulatory policy documents to ensure your organization’s compliance with New Zealand law.
- Up-to-date AML/CFT Guidelines
- Official Compliance Manuals
- Policy Update Notifications Button:
Registration & Licensing
Comprehensive guidance for registering, renewing, or updating your NZFRA financial service license.
- Step-by-Step Registration Instructions
- Application & Renewal Forms
- Licensing Criteria & Standards
Reporting & Audit Support
Practical tools and resources for submitting reports, preparing for audits, and fulfilling annual regulatory obligations.
- Annual Audit Checklist
- Reporting Templates
- Compliance Support Contacts Button:
HELP
Frequently Asked Questions
Find answers to the most commonly asked questions about compliance policies, regulatory requirements, registration procedures, and more. If you need additional assistance, please contact our support team.
Discover clear and concise information on licensing, reporting obligations, regulatory changes, and entity compliance. Our FAQ is designed to help you navigate the NZFRA’s core policies and operational procedures.
Our Frequently Asked Questions address the most important topics for regulated entities and financial professionals. For comprehensive guidance and up-to-date regulatory advice, please refer to our official support channels.
How do I download the latest official guidelines and compliance documents?
Visit the Compliance Resource Center on our website and click on the relevant document link to download the most current policies, manuals, and checklists.
What is the process for registering or renewing a financial service license?
Refer to the Registration & Licensing section for detailed step-by-step instructions, eligibility criteria, required documents, and submission procedures.
Where can I find support for audit preparation and regulatory reporting?
Access our Reporting & Audit Support resources, which include checklists, templates, and direct contact information for our compliance support specialists.