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  1. 17 December 2020

    Exchange-traded funds

    Exchange Traded Funds (ETFs) can be a simple and affordable way of investing in the sharemarket. ETFs enable you to invest in a diverse range of investments, through either a one-off lump sum or a regular savings plan. Learn more about ETFs, understand the risks and returns before you invest.
    Tags
    ETFs, Ways to invest, Investing, Consumer
    Type
    Page

  2. 8 January 2020

    YOUOWN HOUSING GP LIMITED

    Youown Housing GP Limited is an AML reporting entity supervised by the FMA.
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  3. 4 March 2020

    Foreign exchange trading

    Forex trading is the buying and selling of foreign currencies. People trade in forex either to try to make a quick profit by betting on the changing value of a currency or to provide certainty about the cost of future foreign currency payments (called ‘hedging’).The risk of online foreign exchange trading is high. We regularly receive complaints and enquiries from consumers who have lost money in online forex trading. Find out more about the risks and returns here.
    Tags
    Foreign exchange, Ways to invest, Investing, Consumer
    Type
    Page

  4. 14 December 2023

    Cyprus Securities and Exchange Commission – Imposter websites

    Imposter website alert: Cypress Securities Exchange Commission (CySEC) has warned that its website has been copied and scammers are impersonating its officials in a complex “recovery” scam.
    Tags
    Imposter website, Suspected scam, Scams
    Type
    Page

  5. 8 July 2022

    Investor warning: NorthWest Options Exchange

    NorthWest Options Exchange, through their website nwoex.com does not hold a Derivative Issuer License and is not a registered financial service provider in New Zealand or licensed by the FMA.
    Tags
    Investor warning, Unregistered business, Consumer
    Type
    Page

  6. 23 February 2024

    F G SMITH & CO LIMITED

    F G SMITH & CO LIMITED is an AML/CFT reporting entity.

    Tags
    Type
    Page

  7. 1 December 2014

    Australian Securities Exchange Limited

    The Australian Securities Exchange Limited is licensed as market operator. Their licensed market is ASX24.
    Tags
    Market operator, Roles, Licensed entity, Business
    Type
    Page

  9. 23 April 2024

    Managed investment scheme manager

    A Managed Investment Scheme (MIS) pools money from a number of investors who rely on the investment expertise of the MIS manager. These schemes can be structured in different ways and may invest in a wide range of investments. On this page you will find the licensing and registration and compliance obligations of a MIS manager. You will also find a list of KiwiSaver exempt employers.
    Tags
    Compliance, Obligations, Licensing & registration, Roles, Business, Managed investment schemes
    Type
    Page

  11. 23 July 2018

    International Securities Exchange of New Zealand

    The International Securities Exchange of New Zealand (ISENZ) is not a legitimate financial services regulator in New Zealand.
    Tags
    Fake regulator, Suspected scam, Scams
    Type
    Page

  12. 12 December 2013

    Cyprus Securities and Exchange Commission - MOU

    MOU concerning consultation, cooperation and the exchange of information related to the supervision of AIFMD entities between the FMA and the Cyprus Securities and Exchange Commission.
    Tags
    Regulatory cooperation, FMA
    Type
    PDF, MOU

  14. 1 October 2021

    Firma Foreign Exchange Corporation (NZ) Limited

    Firma Foreign Exchange Corporation (NZ) Limited was censured after finding it had materially contravened a number of its obligations as a licensed derivatives issuer.
    Tags
    Censure, Powers, Derivative Issuer, Roles, Business, Enforcement
    Type
    Page

  15. 8 April 2024

    Discretionary Investment Management Service (DIMS)

    To provide discretionary investment management services (DIMS) under the FMC Act you must hold a DIMS market services licence issued under the FMA Act. Find out more about the licensing, fees associated with licensing, compliance obligations and exemptions available to this role in New Zealand.
    Tags
    Compliance, Discretionary investment management scheme (DIMS), Obligations, Licensing & registration, Roles, Business
    Type
    Page