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  1. 26 October 2017

    FMA files Crimes Act charges against Steven Robertson

    The FMA has filed criminal charges against Steven Robertson in the Auckland District Court under the Crimes Act 1961. Read more.
    Tags
    Cases, Media release, News & Insights, Enforcement
    Type
    Page

  2. 18 December 2012

    FMA welcomes Commerce Commission settlement in Credit SaILS investigation

    FMA has today welcomed the Commerce Commission's settlement with five companies in relation to the Commission's Credit SaILS investigation, which creates a settlement fund of $60 million to be distributed to investors who lost money when Credit SaILS failed in 2008.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  5. 2 July 2016

    How to complete your annual AML/CFT report: A quick guide to help small financial adviser businesses

    How to complete your annual AML/CFT report: A quick guide to help small financial adviser businesses has been prepared for authorised financial advisers and small financial adviser businesses that come under Regulation 16 of the Anti-Money Laundering and Countering Financing of Terrorism (Definitions) Regulations 2011 (regulations).
    Tags
    AML/CFT, Roles, Financial Advice Provider, Financial Adviser, Business
    Type
    Page, Guidance

  6. 13 April 2023

    Fundrock NZ Limited

    Fundrock NZ Limited, FSP127464, is a licensed Managed Investment Scheme Manager.
    Tags
    Licensed entity, Roles, Reporting entities, Business, Managed investment schemes
    Type
    Page

  7. 18 October 2019

    BL Global Markets Limited

    SUSPENDED by the FMA: Global markets Limited, FSP703051 (previously FSP414426), derivatives issuer licence.
    Tags
    Derivative Issuer, Licensed entity, Roles, Reporting entities, Business
    Type
    Page

  8. 2 December 2020

    AxiCorp Financial Services Pty Ltd

    AxiCorp Financial Services Pty Ltd, FSP518226, is a licensed derivatives issuer.
    Tags
    Derivative Issuer, Licensed entity, Roles, Reporting entities, Business
    Type
    Page

  9. 14 October 2021

    Direct FX Limited

    SUSPENDED by the FMA: Derivative Issuer Licence for Direct FX Limited, FSP16781.
    Tags
    Derivative Issuer, Licensed entity, Roles, Reporting entities, Business
    Type
    Page

  10. 26 April 2023

    CARBONCO LIMITED

    CARBONCO LIMITED (FSP1004663) is an AML/CFT reporting entity.
    Tags
    AML/CFT, Roles, Business
    Type
    Page

  12. 9 May 2023

    Supervisors Licence Covenant Trustee Services Limited

    This is to certify that COVENANT TRUSTEE SERVICES LIMITED FSP30521, is licensed under section 16(1) of the Financial Markets Supervisors Act 2011 to act as a supervisor in respect of debt securities; a supervisor in respect of registered schemes excluding KiwiSaver schemes, Superannuation schemes and Workplace Savings schemes and a statutory supervisor in respect of retirement villages.

    Tags
    Licence, Roles, Licensing & registration, Business, Supervisor
    Type
    PDF

  13. 2 February 2018

    Financial Markets Conduct (The Bank of New York Mellon) Exemption Notice 2018

    Under Financial Markets Conduct (The Bank of New York Mellon) Exemption Notice 2018 BNYM is exempted from sections 276 to 279 of the Act in respect of any relevant interest in a financial product that BNYM has as a result of an authority granted to it.
    Tags
    Exemptions, Secondary legislation, Business
    Type
    Page

  14. 23 May 2023

    Nautilus Advisers Limited

    Nautilus Advisers Limited, FSP716152 is an AML reporting entity
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  15. 19 August 2019

    Rockfort Markets Limited

    Rockfort Markets Limited, FSP509766, previously known as GPP Markets Limited is a licensed derivatives issuer.
    Tags
    Derivative Issuer, Licensed entity, Roles, Reporting entities, Business
    Type
    Page