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  2. 30 May 2018

    Financial Services Conduct and Culture Review

    RBNZ and FMA briefed the Finance and Expenditure Select committee on the Australian Royal Commission (RC) into Misconduct in Banking, Superannuation and Financial Services Industry, and the response by regulators in New Zealand.
    Tags
    Conduct, Media release, Business, News & Insights
    Type
    Page

  3. 11 July 2019

    Cyber resilience in FMA regulated financial services

    This report 2019 summarises the findings of our thematic review of cyber-resilience in New Zealand financial services, and provides guidance for firms in areas where we have
    identified the need for improvement. It will be useful for our regulated sectors, to help ensure they comply with our expectations and best practice.
    Tags
    Financial Adviser, FMC Act, Reports and Papers, Roles, Legislation, Business, News & Insights
    Type
    PDF

  9. 1 June 2015

    Nomura Financial

    NZ Police have identified Nomura Financial as sophisticated overseas scammers.
    Tags
    Suspected scam, Scams
    Type
    Page

  10. 15 November 2019

    Crests Financial

    We have received a complaint from a New Zealand resident who invested with Crests Financial, who are withholding the release of any funds. Crests Financial is not licensed or registered to provide financial services in New Zealand. We are concerned that they may be operating a scam.
    Tags
    Suspected scam, Scams
    Type
    Page

  11. 9 November 2016

    TCA Financial

    TCA appears to have the characteristics of a boiler room fraud.
    Tags
    International regulator alerts, Scams
    Type
    Page

  12. 1 January 2011

    Financial Marketing

    Financial Marketing is a suspected scam. website: www.fusionfinancialmarketing.com
    Tags
    Suspected scam, Scams
    Type
    Page

  13. 11 April 2024

    Financial adviser

    To use the term Financial Adviser from the start of the new financial advice regime, you must be registered on the Financial Service Providers Register (FSPR) and engaged by a licensed financial advice provider (FAP) (or authorised body).　
    Find out more about licensing, your ongoing obligations and duties and complying with the new Code of Professional Conduct; liabilities and enforcement and frequently asked questions on this page.
    Tags
    New Financial Advice regime, Compliance, Financial Adviser, FSPR, Obligations, Licensing & registration, Roles, Business
    Type
    Page

  14. 14 June 2024

    Financial Institutions

    A financial institution is a registered bank, licensed insurer, or licensed non-bank deposit taker (NBDT) that is in the business of providing one or more relevant services. View more about the licensing of Financial Institutions on this page.
    Tags
    Financial Institutions, Banking, Insurance Providers, Conduct of Financial Institutions Bill (CoFI), Managed Investment Schemes, Roles, Business, Managed investment schemes
    Type
    Page

  15. 15 March 2021

    Crypto asset service providers

    This page provides information about your obligations if you provide a ‘financial service’ related to crypto assets in New Zealand. Read more about types of financial products, initial coin offers, registration, AML/CFT obligations and fair dealing requirements
    Tags
    Cryptocurrencies, Compliance, Roles, Fair dealing, Obligations, Offer information, Licensing & registration, Business
    Type
    Page