Back

Search results

Found 2136 results. Displaying page 18 of 143

  2. 22 January 2024

    Independent trustees

    You'll need a licence if you are appointed as an independent trustee of a restricted KiwiSaver scheme or a workplace superannuation or legacy scheme. Every restricted managed investment scheme must have at least one licensed independent trustee. See more about the licensing and registration and compliance obligations of independent trustees on this page.
    Tags
    Compliance, Independent trustee, Roles, Obligations, Licensing & registration, Business
    Type
    Page

  4. 24 November 2015

    Consultation paper: Draft guidance on risk indicators and descriptions of managed funds

    Consultation paper: Draft guidance on risk indicators and descriptions of managed funds. This consultation paper proposes guidance on how managed funds should describe a fund’s risk category, the methodology for calculating risk indicators, what to look out for when naming the funds to reflect their risk profile, and when to update investors when a fund’s risk category changes.
    Tags
    Offer information, Managed investment schemes, Roles, Business
    Type
    Page

  6. 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

  7. 19 December 2019

    DBS Securities Limited

    We have received a complaint from a NZ investor who invested funds with Glen Hamilton & Partners LLC in 2017 after receiving an unsolicited cold call.
    Tags
    Suspected scam, Scams
    Type
    Page

  8. 9 June 2017

    FMA files charges under Crimes Act

    Robert Ian South and Murray Byron Provan appeared in the Tauranga District Court in relation to various charges filed by the FMA under the Crimes Act. Read more.
    Tags
    Cases, Media release, News & Insights, Enforcement
    Type
    Page

  9. 13 July 2017

    Consultation paper: Disclosing non-GAAP financial information

    Consultation paper: Disclosing non-GAAP financial information. This guidance note communicates our expectations on presenting non-GAAP financial information, including pro-forma financial information.
    Tags
    Cryptocurrencies, Discretionary investment management scheme (DIMS), Offer disclosure for equity and debt offers, Consultations, Roles, Business, Managed investment schemes
    Type
    Page

  10. 25 February 2019

    Robert Ian South and Murray Byron Provan

    Two men, Robert Ian South and Murray Byron Provan, face various charges under the Crimes Act. Read more.
    Tags
    Court – criminal, Powers, Enforcement
    Type
    Page

  11. 20 May 2022

    FMA warning: E-capital Forex

    WARNING: E-Capital is not an incorporated company in New Zealand or registered financial service provider (FSP). It is not authorised by, nor associated with Trademax Global Markets (NZ) Limited (Trademax). It uses Trademax’s FSP registration number, trademark, and website design without permission.
    Tags
    Imposter website, Suspected scam, Scams
    Type
    Page

  12. 16 December 2021

    Warning about Nostra Capital

    Warning: We are concerned that Nostra Capital is operating a scam via its website https://nostracapital.com. Nostra Capital is not a registered financial service provider in New Zealand and is therefore not permitted to provide financial services to New Zealand residents. We recommend caution if dealing with this entity.
    Tags
    Investor warning, Unregistered business, Consumer
    Type
    Page

  13. 7 May 2019

    Code of Professional Conduct for Financial Advice Services

    The Code of Professional Conduct for Financial Advice Services is prepared in accordance with Part 4 of Schedule 5 of the Financial Markets Conduct Act 2013 (the FMC Act). The Code supports the purposes of the FMC Act including promoting the confident and informed participation of businesses, investors, and consumers in the financial markets, avoiding unnecessary compliance costs, and ensuring the availability and quality of financial advice.
    Tags
    Financial Advice Provider, Conduct, Roles, Business
    Type
    Page, Guidance

  15. 6 September 2018

    Preparing for investment storms

    As part of the Sorted Money Week 2018 ‘Weathering the storm’ the Financial Markets Authority (FMA) is focussing on helping younger KiwiSaver members prepare for when investment markets fall in value.
    Tags
    Media release, KiwiSaver providers, KiwiSaver & Superannuation, Roles, Business, Consumer, Managed investment schemes, News & Insights
    Type
    Page