Back

Search results

Found 6580 results. Displaying page 25 of 439

  1. 30 May 2018

    Compliance assurance programmes information sheet

    The information sheet is for entities holding or applying for a licence under the Financial Markets Conduct Act 2013, and anyone involved in the creation, implementation and ongoing operation of a compliance assurance programme.
    Tags
    FMC Act, Obligations, Legislation, Business
    Type
    PDF, Information Sheet

  2. 9 July 2018

    Consultation paper on legislative notices and unnecessary compliance cost

    This consultation paper is for participants who rely on our legislative notices; legal advisers; and other interested parties. It seeks feedback on whether any notice granted by us insufficiently addresses, or inadvertently creates, unnecessary compliance costs.
    Tags
    Consultations, Business
    Type
    PDF

  3. 14 May 2014

    FMA seeks comments on proposed class exemption to apply to initial public offers

    Consultation paper: FMA seeks comments on proposed class exemption to apply to initial public offers. The Financial Markets Authority (FMA) is planning to consult on a proposed class exemption for firms making initial public offers (IPOs). Read more.
    Tags
    Offer information, Consultations, Exemptions, Business
    Type
    Page

  6. 1 February 2013

    NZ finance company collapses (2006–2012)

    The scale and circumstances of the Finance industry failure since 2006 gave rise to concerns of inappropriate behaviour and breaches of the Securities Act and a programme of investigations into the failures was initiated. Read more.
    Tags
    Type
    Page

  7. 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

  9. 28 November 2022

    TupuToa interns – welcome to the FMA

    The FMA has welcomed eight new interns who will be working full-time with us over the university summer break as a part of TupuToa Internship Programme.
    Tags
    FMA people, Article, FMA, News & Insights
    Type
    Page

  10. 13 December 2022

    Consultation paper: Review of the Small Co-operatives and Irrigation Companies Class Exemptions

    We are seeking feedback on two class exemption notices, being:
    the Financial Markets Conduct (Small Co-operatives) Exemption Notice 2021
    the Financial Markets Conduct (Irrigation Companies) Exemption Notice 2018.
    The notices provide small co-operative companies, industrial and provident societies, and irrigation companies with a lighter regulatory compliance pathway.
    Tags
    Offer disclosure for equity and debt offers, Consultations, Roles, Business
    Type
    Page, Consultation

  13. 8 June 2017

    Vivier and Company Limited (Vivier)

    FMA considered Vivier’s New Zealand FSP registration to be misleading as all its services were mostly in Europe and directed that Vivier be deregistered as an FSP. Read more.
    Tags
    Enforcement
    Type
    Page

  14. 21 October 2021

    Income Analysts

    Warning: Income Analysts has characteristics of a scam, including cold calling New Zealand residents and marketing unrealistic returns.
    We recommend exercising caution before purchasing the trading education program promoted by Income Analysts.
    Tags
    Suspected scam, Scams
    Type
    Page

  15. 13 October 2017

    The Financial Service Provider Commission (FSPC)

    The Financial Service Provider Commission is claiming to be a financial services regulator and endorsing products and services from questionable sources.
    Tags
    Fake regulator, Scams
    Type
    Page