№ files_lp_4_process_3_081579
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A comprehensive regulatory source listing entities subject to AML/CFT reporting requirements across various financial and service sectors in New Zealand.
Year:
2016
Region / City:
New Zealand (Auckland, Wellington, Canterbury, Bay of Plenty, Waikato, Taranaki, Southland, Northland, Hawkes Bay)
Topic:
Anti-Money Laundering / Counter Financing of Terrorism
Document Type:
Regulatory listing
Organization:
Department of Internal Affairs
Target Audience:
Financial institutions, regulatory bodies
Date of Publication:
30 June 2016
Sectors Covered:
Cash transport, casinos, debt collection, factoring, financial leasing, foreign exchange, non-bank financial services, payment providers, payroll, remittances, safe deposits, stored value cards, tax pooling, trust/corporate service providers
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Year:
2022
Note:
Region / city
Subject:
Anti-money laundering, Countering financing of terrorism, Designated business group
Document type:
Guideline
Target audience:
Reporting entities, Legal advisors
Context:
A guideline for reporting entities on the formation and operation of designated business groups (DBG) under the AML/CFT Act, detailing shared obligations and responsibilities within such groups.
Year:
2019
Region / City:
Ireland
Subject:
Anti-money laundering, Terrorist financing
Document Type:
Policy
Organ / Institution:
Property Services Regulatory Authority
Author:
PSRA
Target Audience:
Businesses providing property services
Effective Period:
Ongoing
Approval Date:
01/01/2019
Amendment Date:
Not applicable
Year:
2020
Region / city:
New Zealand
Topic:
Anti-money laundering, Countering financing of terrorism
Document type:
Guideline
Issuing body:
AML/CFT Supervisors
Target audience:
Financial institutions, businesses subject to AML/CFT regulations
Period of validity:
September 2020 onward
Approval date:
September 2020
Date of last amendment:
N/A
Context:
This document provides guidance on conducting enhanced customer due diligence (CDD) as part of the Anti-Money Laundering and Countering Financing of Terrorism (AML/CFT) obligations under the Act 2009.
Year:
2014
Region / City:
Christchurch, Auckland, Tauranga, Wellington, Hamilton, New Plymouth
Theme:
Anti-Money Laundering, Financial Services
Document Type:
Report
Institution:
Department of Internal Affairs
Author:
Department of Internal Affairs
Target Audience:
Entities involved in financial services, regulators
Effective Period:
As of 1 May 2014
Approval Date:
01/05/2014
Modification Date:
N/A
Year:
2016
Region / City:
Auckland, Wellington, Canterbury, Hawkes Bay, Bay of Plenty, Waikato, Northland, Taranaki, Southland, Manawatu, Christchurch, Australia
Sector:
Cash Transport, Casino, Debt Collection, Factor, Financial Leasing, Foreign Exchange, Non-Bank Credit Card, Payment Provider, Payroll, Remittance, Safe Deposit, Stored Value Card, Tax Pooling, TCSP, Other
Document Type:
Reporting Entities List
Organization:
Department of Internal Affairs
Target Audience:
Businesses and financial institutions involved in AML/CFT compliance
Approval Date:
30 September 2016
Amendment Date:
Not specified
Document Type:
Regulatory compliance questionnaire
Subject:
Anti-Money Laundering and Countering the Financing of Terrorism (AML/CFT)
Applicable Entities:
Market Operators
Regulatory References:
Act 874; Financial Intelligence Centre (FIC); Securities and Exchange Commission (SEC)
Reporting Requirements:
AML/CFT reports; Cash Transaction Reports (CTR); Suspicious Transaction Reports (STR); Employee Training Programme
Currency Reference:
Ghana Cedi (GH¢)
Cash Reporting Threshold:
GH¢50,000
Required Attachments:
Organogram; Group structure; Board-approved AML/CFT Compliance Programme; Risk Assessment Framework/Methodology; Internal and External Audit Reports; PEP List; Operational Manual; Litigation Summary; Training Budgets (2019 and 2020); Monitoring Reports; AMLRO Appointment Letter and CV
Governance Scope:
Board of Directors; CEO/MD; AMLRO; Senior Management
Compliance Areas Covered:
Risk assessment; Customer due diligence (KYC/CDD/EDD); PEP screening; Record keeping; Independent testing; Staff training; Financial inclusion; Account monitoring; Reporting obligations
Retention Requirement:
Minimum 7 years for transaction records
Reporting Authorities:
Financial Intelligence Centre (FIC); Securities and Exchange Commission (SEC)
Year:
2018
Region / City:
New Zealand
Sector:
Financial Services
Document Type:
Report
Institution:
Department of Internal Affairs
Author:
Not specified
Target Audience:
Entities involved in AML/CFT compliance
Period of Validity:
Ongoing
Approval Date:
31 July 2018
Date of Changes:
Not specified
Year:
2015
Region / City:
Auckland, Wellington, Canterbury, Bay of Islands, Bay of Plenty, Northland, Waikato, Hawkes Bay, Taranaki, Manawatu-Whanganui, Otago
Sector:
Financial Services
Type of Document:
Report
Organization:
AML/CFT Reporting Entities
Author:
N/A
Target Audience:
Financial institutions and regulatory bodies
Period of Validity:
N/A
Approval Date:
N/A
Date of Changes:
N/A
Description:
A detailed list of AML/CFT reporting entities as of March 31, 2015, organized by company name, registration number, and sector.
Year:
2016
Region / City:
Georgetown
Subject:
Appointment Process for Director and Deputy Director of the Financial Intelligence Unit (FIU)
Document Type:
Report
Organization / Institution:
National Assembly of Guyana
Author:
Committee on Appointments
Target Audience:
Members of the National Assembly, Government Officials, and Related Stakeholders
Effective Period:
2015–2016
Approval Date:
18th July, 2016
Date of Amendments:
N/A
Context:
Report detailing the process of appointment for key positions within the Financial Intelligence Unit of Guyana under the Anti-Money Laundering & Countering the Financing of Terrorism Act.
Year:
2022
Region / City:
Paris, France
Subject:
AML/CFT risks in correspondent banking
Document Type:
Service contract
Organization:
Expertise France
Author / Signatory:
Jérémie Pellet
Designated Expert:
Name and Surname of Contractor
Duration:
20 months
Legal Framework:
French Code of Public Procurement (CPP), Order No. 2018-1074, Decree No. 2018-1075
Contract Number:
22SSE0C018
Scope:
International cooperation project for EU Member States
Financial Provisions:
Unit prices, reimbursable costs, ancillary costs, interim payments
Annexes:
Mission description, timesheet template, expert CV, Code of Conduct
Year:
2023
Region / City:
Oregon
Topic:
Health Care, Managed Care Entities, Grievance and Appeal System
Document Type:
Instruction Manual
Agency / Institution:
Oregon Health Authority (OHA)
Author:
Oregon Health Authority (OHA)
Target Audience:
Managed Care Entities, Coordinated Care Organizations, Health Care Administrators
Period of Action:
Quarterly
Approval Date:
N/A
Date of Changes:
N/A
Year:
2023
Region / City:
United States
Topic:
Water Infrastructure Financing
Document Type:
Application Instructions
Organization:
U.S. Environmental Protection Agency
Author:
U.S. Environmental Protection Agency
Target Audience:
Public entities applying for WIFIA loans
Effective Period:
N/A
Approval Date:
N/A
Modification Date:
N/A
Court File Number:
2501-03316
Court:
Court of King’s Bench of Alberta
Judicial Centre:
Calgary
Document Type:
Service List
Legislation:
Companies’ Creditors Arrangement Act, RSC 1985, c C-36, as amended
Parties:
OKR Governance Co. Inc., Old Kent Road Financial Adminco Ltd., OKR Premium Fund GP I Ltd., OKR Premim Fund II GP Inc., OKR Premium Fund III GP Inc., Old Kent Road Income Fund I GP – A Inc., OKR Diversified Fund I GP Inc., OKR Institutional Fund GP I Inc., OKR Institutional Fund GP II Inc., OKR Income Fund SPV GP I Inc.
Date:
April 3, 2025
Applicants’ Counsel:
Lawson Lundell LLP
Monitor:
PricewaterhouseCoopers Inc.
Monitor’s Counsel:
Cassels Brock & Blackwell LLP
Investors’ Counsel:
Field Law, Burnet, Duckworth & Palmer LLP
PPR Registrants:
Bluesky Equities Ltd., Royal Bank of Canada, Wesley Glen Samuel Mills, Jayne Parish, Kenneth Siemens
Regulatory Authority:
Alberta Securities Commission
Document Audience:
Legal representatives, creditors, and stakeholders involved in the CCAA proceedings
Year:
2024
Region / City:
California
Topic:
Renewables Portfolio Standard (RPS), Renewable Energy Credits (REC)
Document Type:
Guidance
Organization / Institution:
California Energy Commission (CEC)
Author:
California Energy Commission (CEC)
Target Audience:
Load Serving Entities (LSEs), Retail Sellers, Publicly Owned Electric Utilities (POU)
Effective Period:
2024
Approval Date:
Not specified
Modification Date:
Not specified
Year:
2017
Region / City:
California
Theme:
Electronic Filing Services
Document Type:
Agreement
Organ / Institution:
Judicial Council of California
Author:
Judicial Council of California
Target Audience:
Judicial Branch Entities, Contractors
Duration:
Until Expiration Date
Approval Date:
[Date]
Amendment Date:
[Date]
Year:
2012
Region / City:
King Sabata Dalindyebo, Mthatha
Theme:
Professional Consulting Services
Document Type:
Annexure
Institution:
Various consulting firms contracted by entities
Author:
N/A
Target Audience:
N/A
Period of Validity:
5 years (for most projects)
Approval Date:
N/A
Date of Changes:
N/A
Year:
2023
Region / City:
Kentucky, USA
Subject:
Licensing procedures, alcohol and drug treatment services
Document Type:
Administrative regulation
Authority:
Kentucky Cabinet for Health and Family Services
Target Audience:
Alcohol and drug treatment entities, healthcare providers, policymakers
Period of validity:
Ongoing
Approval Date:
Not specified
Amendment Date:
Not specified
Year:
2018
Region / city:
New York
Topic:
Renewable energy, Compliance
Document Type:
Guidance Document
Organization:
New York State Energy Research and Development Authority (NYSERDA)
Author:
New York State Energy Research and Development Authority (NYSERDA)
Target Audience:
Load-Serving Entities (LSEs)
Action Period:
Annual
Approval Date:
April 2018
Date of Changes:
N/A
Context:
Guidance document for load-serving entities in New York State, providing detailed instructions on compliance with the Clean Energy Standard (CES), including Renewable Energy Standard (RES) and Zero-Emissions Credit (ZEC) obligations.
Year:
2021
Region / City:
Oregon
Topic:
Healthcare Policy, Grievance and Appeal Systems
Document Type:
Instructional Guide
Organ / Institution:
Oregon Health Authority (OHA)
Author:
Oregon Health Authority (OHA)
Target Audience:
Managed Care Entities (MCEs)
Period of Validity:
Ongoing
Approval Date:
Not specified
Modification Date:
Not specified
Year:
2024
Region / City:
Qatar
Topic:
Data breach notification
Document type:
Form
Authorizing body:
National Cyber Governance and Assurance Affairs
Target audience:
Data controllers
Period of validity:
Not specified
Approval date:
November 2020
Date of last update:
December 2024