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  2. 12 July 2019

    King Capital Management

    We are concerned that King Capital Management may be operating a scam and accordingly advise caution before dealing with them.
    Tags
    Suspected scam, Scams
    Type
    Page

  3. 12 July 2019

    FMA comments on Ross Asset Management investor proceedings

    The Financial Markets Authority (FMA) said today’s filing of proceedings on behalf of eligible investors in Ross Asset Management marked the end of a long battle to enable the FMA to engage with investors so they could determine whether to bring a claim against ANZ.
    Tags
    Cases, Media release, News & Insights, Enforcement
    Type
    Page

  4. 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.
    Tags
    Reports and Papers, Roles, KiwiSaver providers, Supervisor, Managed investment schemes, Business, News & Insights
    Type
    PDF

  5. 11 July 2019

    Skyway Capital/Skyway Group

    Skyway Capital, the Skyway Group, SkyWay Investment Group, and RSW Investment Group Ltd are not registered as a financial service provider in New Zealand and is therefore not permitted to provide financial services to New Zealand residents.
    Tags
    Suspected scam, International regulator alerts, Scams
    Type
    Page

  6. 11 July 2019

    MBI International/MFC Club

    The FMA is concerned that a Malaysian based loyalty scheme, MBI International also trading as MFC Club (MFC Club) is being promoted in New Zealand. We have received reports that MFC Club is being actively promoted within the Chinese speaking community in Auckland.
    Tags
    Suspected scam, Scams
    Type
    Page

  7. 11 July 2019

    Warning: MBI International/MFC Club

    The FMA has issued a further warning to investors about a Malaysian-based loyalty scheme, MBI International, also trading as MFC Club (MFC Club).
    Tags
    Media release, News & Insights, Scams
    Type
    Page

  8. 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.
    Tags
    Financial Adviser, FMC Act, Reports and Papers, Roles, Legislation, Business, News & Insights
    Type
    PDF

  9. 11 July 2019

    Cyber-resilience in FMA-regulated financial services guidance

    Cyber-resilience in FMA-regulated financial services report 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.
    Tags
    Derivative Issuer, Crowdfunding Service Provider, Financial Adviser, Financial Advice Provider, Offer disclosure for equity and debt offers, Discretionary investment management scheme (DIMS), Cryptocurrencies, Client money or property services provider, Authorised body under a FAP, Roles, Directors, Crowdfunding providers, Business, Interposed persons under new financial advice regime, FMA, Managed investment schemes, Market operator, Peer-to-peer lending service providers, Supervisor, Nominated representatives
    Type
    Page, Guidance

  10. 5 July 2019

    Statement on the Kiwi Access Card

    The status of the new Kiwi Access card is considered to be the same as the older 18+ card for the purposes of the IVCOP. This approach is in-line with the Evidence of Identity standard factsheet on the Kiwi Access Card/18+ Card, which treats them as the same form of identification.
    Tags
    Roles, Business, Managed investment schemes, Supervisor
    Type
    Page, Guidance, Information Sheet

  11. 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.
    Tags
    AML/CFT, Regulation updates, Roles, Business
    Type
    PDF

  12. 4 July 2019

    OneLife Network Limited and OneCoin Limited

    We recommend extreme caution before investing with OneLife or OneCoin as we are concerned they bear the characteristics of a scam, including withholding client funds and promising unrealistic returns.
    Tags
    Suspected scam, Scams
    Type
    Page

  13. 4 July 2019

    Statement of Performance Expectations 2019

    The Statement of Performance Expectations (SPE) is one of two documents that set out how we measure our
    future performance and report on the progress of that performance against our performance targets. This is our 2019 report.
    Tags
    Type
    PDF

  15. 4 July 2019

    Viaduct and Mutual - Judgment

    Court of Appeal Judgment in the case against Paul Neville Bublitz, 4 July 2019.
    Tags
    Court decision, Enforcement
    Type
    PDF