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  1. 3 February 2023

    BNP Paribas NZ DBG

    BNP Paribas NZ DBG including: BNP Paribas Fund Services Australasia Pty Ltd (FSP42061), BNP Paribas Nominees (NZ) Limited (FSP42162), BNP Paribas Securities Services.
    Tags
    AML/CFT, Roles, Reporting entities, Business, Designated Business Group (DBG)
    Type
    Page

  2. 8 April 2024

    Standard Conditions for derivatives issuers

    If the FMA grants you a derivatives issuer licence under section 396 of the FMC Act, the licence will be subject to conditions detailed in this document.
    Tags
    Derivative Issuer, Standard conditions, Roles, Licensing & registration, Business
    Type
    PDF

  3. 19 April 2024

    Financial Markets Conduct (Goldman Sachs) Exemption Notice 2024

    The Financial Markets Conduct (Goldman Sachs) Exemption Notice 2024 (Notice) exempts exempt entities (being the Goldman Sachs Group, Inc and its subsidiaries (each being a GS entity and together the Goldman Sachs Group) and any related body corporate of a GS entity) from the substantial product holder disclosure obligations in sections 276 to 279 of the Financial Markets Conduct Act 2013 (the FMC Act).
    Tags
    Exemptions, Business
    Type
    Page, Financial Markets Conduct Act exemptions, Current, Exemption notice

  5. 1 March 2024

    Financial Markets Conduct (Climate-related Disclosures – Commonwealth Bank of Australia New Zealand) Exemption Notice 2024

    The Notice permits CBA to report only in relation to certain group members (CBA Group) and exempts CBA from reporting in relation to other group members (being ASB Holdings Limited and ASB Bank Limited and its subsidiaries) that are required otherwise to form part of the climate statements to be prepared for CBA’s New Zealand business under section 461ZB(3)(a) of the Act. With the exception of ASB Holdings Limited, the subsidiaries excluded from the CBA Group climate statements will be included in other climate statements pursuant to section 461ZA of the Act.
    Tags
    Exemptions, Business
    Type
    Page

  6. 7 June 2023

    Financial Markets Conduct (Christchurch City Holdings Limited Subsidiary Balance Date Alignment) Exemption Notice 2023

    The Financial Markets Conduct (Christchurch City Holdings Limited Subsidiary Balance date Alignment) Exemption Notice 2023 exempts Christchurch City Holdings Limited (CCHL), subject to conditions, from section 461(3) of the Financial Markets Conduct Act 2013 (Act). Section 463(1) requires the board of an FMC reporting entity to ensure that the balance date of the FMC reporting entity is the same as the balance date of its subsidiaries. The effect of the exemption is that it exempts the board of CCHL from requiring that its subsidiary Orion New Zealand Limited (Orion) has the same balance date..
    Tags
    Exemptions, FMC Act, Legislation, Business
    Type
    Page

  7. 4 July 2005

    Monaco Village Holdings Limited

    This undertaking is offered to the Securities Commission for acceptance under section 69J of the Securities Act 1978 by Monaco Village Holdings Limited and its directors (Robert Michael Gepp and Roderick Hugh Duke) after unintentional contravention of Securities Act 1978 and Securities Regulations 1983. Read more.
    Tags
    Enforceable undertaking, Powers, Enforcement
    Type
    Page

  8. 8 June 2006

    The Gables Limited (TGL), Combined Financial Services Limited (CFS) and Aoraki Commerical Property Limited (ACP)

    The Securities Commission formed the view that the offer made by TGL and the advertisement of the offer by CFS and ACP in 2006 did not comply with section 33(1) of the Act in that it was not made in or accompanied by an investment statement that complied with the Act and the Securities Regulations 1983, nor was it made in an authorised advertisement, nor in or accompanied by a registered prospectus that complied with the Act and Regulations. Read more.
    Tags
    Enforceable undertaking, Powers, Enforcement
    Type
    Page

  9. 3 October 1994

    Power New Zealand Limited

    The decision of the Securities Commission in respect of an appeal under Section 69 Securities Act 1978 by Power New Zealand Limited against a decision of the Registrar to refuse registration of the prospectus. Read more
    Tags
    Enforceable undertaking, Powers, Enforcement
    Type
    Page

  10. 25 July 2015

    Capital + Merchant Finance Limited (CMF)

    FMA laid criminal charges and civil proceedings against five directors of CMF, Neal Nicholls, Owen Tallentire, Colin Ryan, Wayne Douglas and Robert Sutherland, under the Securities Act. These charges related to untrue statements in offer documents distributed in 2006. Read more.
    Tags
    Court – civil, Powers, Enforcement
    Type
    Page

  11. 11 July 2014

    Ross Collins

    This criminal proceeding relates to allegations that Ross Collins, as a Director of Prosper Hills (2004) Limited, Prosper Hills (2006) Limited NZFIL 3, failed to deliver financial statements to the Registrar of Companies under ss 18(1) & 38(b) Financial Reporting Act 1993. Read more.
    Tags
    Court – criminal, Powers, Enforcement
    Type
    Page

  12. 29 April 2024

    AML/CFT beneficial ownership guideline

    The AML/CFT beneficial ownership guideline and associated fact sheets are to assist reporting entities in meeting the requirement to perform customer due diligence on the customer and beneficial owners of the customer under sections 11-26 of the Anti-Money Laundering and Countering Financing of Terrorism Act 2009.
    Tags
    AML/CFT, Roles, Business, News & Insights
    Type
    Page, Guidance

  13. 29 April 2024

    Beneficial ownership guideline

    This guideline is to assist reporting entities in meeting the requirement to perform customer due diligence on the customer and beneficial owners of the customer under sections 11-26 of the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (‘the Act’).
    Tags
    Roles, Reporting entities, Authorised body under a FAP, Client money or property services provider, Crowdfunding providers, Derivative Issuer, Discretionary investment management scheme (DIMS), Business, Managed investment schemes, Peer-to-peer lending service providers, Supervisor
    Type
    PDF, Guidance

  14. 10 May 2024

    Jarden Wealth

    Jarden Wealth includes Jarden Wealth Limited
    (FSP1006426), Jarden Structured Investment Limited
    Tags
    Reporting entities, Roles, Business, Designated Business Group (DBG)
    Type
    Page

  15. 15 March 2021

    Frequently asked questions

    The FMA answers many questions on a daily basis. We have recorded the most frequently asked questions on this page. Check this page first before submitting your question to us - it may save you time. If you can’t find the information you’re looking for then please submit your question to us via [email protected] or call our helpline on 0800 434 566. .
    Tags
    Business
    Type
    Page