1. Compliance
  2. AML/CFT
  3. AML/CFT Formal Warnings

AML/CFT Formal Warnings

Formal warnings under section 80 of the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (the AML/CFT Act) are issued to reporting entities (including public warnings), for breaches of the AML/CFT Act. To date public warnings have been issued to the reporting entities listed here:

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    • Formal warning

    29 October 2021

    Sharesies Limited and Sharesies Nominee Limited

    The FMA has issued a formal warning to Sharesies for purposes of section 80 of Anti-Money Laundering and Countering Financing of Terrorism Act 2009 We have reasonable grounds to believe that Sharesies have engaged in conduct that constitutes a civil liability act under the Anti-Money Laundering and Countering Financing of Terrorism Act 2009.

    http://fma.cwp.govt.nz/compliance/amlcft/amlcft-formal-warnings/sharesies-formal-warning/