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Found 5813 results. Displaying page 41 of 388

6 July 2016

Mr Paul Clifford Hibbs and Hansa Limited

Anyone who has been in contact with Mr Hibbs or Hansa in relation to the offer of financial advice, investment services, or any other form of financial product or service, is encouraged to contact us.

Tags

Investigations, Enforcement

Type

Page
15 November 2023

Fake FMA licence certificates

We have received a large number of reports about fake FMA licence certificates being used to try and convince people to invest money with phony investment brokers.

Tags

Suspected scam, Investor warning, Consumer, Scams

Type

Page
20 June 2023

Financial Markets Conduct (Market Index) Exemption Notice 2023

This exemption provides relief to managed investment scheme (MIS) managers with funds that invest, in whole or in part, in assets that do not have an appropriate market index (relevant assets) and instead allows managers to take alternative approaches.

Tags

Exemptions, FMC Act, Legislation, Roles, Business, Managed investment schemes

Type

Page
24 April 2024

Hz-cap.com - Imposter, unsolicited offer

Hz-cap.com has been cold calling New Zealand residents, attempting to offer an investment in Starlink IPO. Unsolicited offers of financial products are prohibited in New Zealand.

Tags

Imposter website, Scams

Type

Page
6 June 2024

Fisher Funds Group DBG

Fisher Funds Group includes members: FISHER FUNDS WEALTH INVESTMENTS LIMITED PARTNERSHIP, Fisher Funds Wealth Limited, Fisher Funds Wealth Investment Management Limited and Portfolio Custodial Nominees Limited.

Tags

Roles, Reporting entities, Business, Designated Business Group (DBG)

Type

Page
- Imposter website
18 June 2024

Xcel Trader - Imposter website, withholding funds
Xcel Trader is offering managed investment plans with unrealistic returns. It is not registered on the Financial Service Providers Register, which is required for entities offering financial products and services in New Zealand
Tags

Imposter website, Investor warning, Consumer, Scams

Type

Page
18 May 2022

Findings from MIS manager Value For Money self-assessment tool pilot

The FMA’s 2021 guidance on managed fund fees and value for money introduces an expectation for Managed Investment Scheme (MIS) managers to carry out regular reviews of scheme fees and whether customers are receiving value for money.

Tags

Reports and Papers, Roles, Business, Managed investment schemes, News & Insights, Supervisor

Type

Page
14 April 2021

Managed fund fees and value for money

Guidance and principles to help managers and supervisors of KiwiSaver schemes and other managed investment schemes to demonstrate how they are meeting their existing obligations, statutory duties, and conduct expectations in respect of fees and value for money.

Tags

Roles, Supervisors, Business, Managed investment schemes

Type

Page, Guidance
22 August 2013

Five Star Consumer Finance And Five Star Finance Group

FMA alleged that the directors (Marcus Macdonald, Nicholas Kirk, Anthony Bowden, Neill Williams) made untrue statements in the investment statements and registered prospectuses of Five Star Consumer Finance Limited and offered securities (Five Star Finance and Five Star Debenture Nominee) in contravention of the Securities Act and did so without having registered a prospectus or provided investors with an investment statement. Read more.

Tags

Misleading statement, Breach, Enforcement

Type

Page
9 May 2024

Financial Markets Conduct Abacus Storage King Exemption Notice 2024

The Financial Markets Conduct (Abacus Storage King) Exemption Notice 2024 (Notice) exempts Abacus Storage Operations Limited (ASOL) and Abacus Storage Property Trust (the Trust) (together the issuers), and Abacus Storage Funds Management Limited (ASFML) (as responsible entity for the Trust under Australian law) from compliance with the disclosure requirements in Part 3 of the Financial Markets Conduct Act 2013 Act (Act), and exempts the Trust and ASFML from compliance with the governance requirements for managed investment schemes in Part 4 of the Act. The exemptions apply only to offers of stapled securities (each consisting of a share in ASOL and a unit in the Trust) which are made under an employee security plan established by the issuers to certain eligible persons in New Zealand (Abacus Storage King ESP).

Tags

Type

PDF, Exemption notice
12 December 2013

Czech National Bank (Czech Republic) - MOU

MOU concerning consultation, cooperation and the exchange of information related to the supervision of AIFMD entities between the FMA and the Czech National Bank (Czech Republic).

Tags

Regulatory cooperation, FMA

Type

PDF, MOU
12 December 2013

Hellenic Capital Market Commission (Greece) - MOU

MOU concerning consultation, cooperation and the exchange of information related to the supervision of AIFMD entities between the FMA and the Hellenic Capital Market Commission (Greece).

Tags

Regulatory cooperation, FMA

Type

PDF, MOU
12 December 2013

Comisao do Mercado de Valores Mobiliarios Portugal - MOU

MOU concerning consultation, cooperation and the exchange of information related to the supervision of AIFMD entities between the FMA and the Comisao do Mercado de Valores Mobiliarios Portugal

Tags

Regulatory cooperation, FMA

Type

PDF, MOU
12 December 2013

Comision Nacional de Mercado de Valores Spain - MOU

MOU concerning consultation, cooperation and the exchange of information related to the supervision of AIFMD entities between the FMA and the Comision Nacional de Mercado de Valores Spain

Tags

Regulatory cooperation, FMA

Type

PDF, MOU
10 August 2022

Investor alert: VHNX is not licensed to offer derivative trading services in New Zealand

WARNING: FMA is concerned that the website vhnx.com may be operating a scam. We have received reports that representatives from VHNX are cold-calling New Zealand residents with investment offers when it is not authorised to do so. We have also received reports of people being unable to withdraw their funds.

Tags

Suspected scam, Unregistered business, Scams

Type

Page