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Found 3349 results. Displaying page 17 of 224

  2. 12 December 2018

    Ideal Services Direct Contact

    New Zealand residents have been receiving cold calls from Ideal Services DC and have been offered to invest in Alipay IPO at a low price.
    Tags
    Suspected scam, Scams
    Type
    Page

  11. 24 May 2019

    How to spot an investment scam

    FMA guide to protecting yourself from investment scammers by identifying common types of scams.
    Tags
    Investing, Article, Consumer, News & Insights, Scams
    Type
    Page

  12. 5 April 2024

    Authorised body under a financial advice provider licence

    An authorised body is an entity (eg company or partnership) named on a Financial Advice Provider licence. A licensed FAP must agree to an authorised body operating under its licence. The authorised body must be named on the financial advice provider’s transitional licence application, and the licensed FAP will be required to provide information about the authorised body when it applies for its licence.
    Individuals cannot be authorised bodies under a FAP licence and individual financial advice provider licence holders cannot engage authorised bodies under their licences.
    Find out more about registration, costs, ongoing obligations, duties, standard consitions, general reporting conditions, code of professional conduct, competency safe harbour, and liability and enforcement on this page.
    Tags
    Compliance, New Financial Advice regime, Authorised body under a FAP, Obligations, Licensing & registration, Roles, Financial Services Legislation Amendment Act (FSLAA), Business
    Type
    Page

  13. 2 February 2023

    Reasonable grounds for financial advice about financial products - guidance

    Guidance on the FMA’s approach to applying and enforcing Code Standard 3 of the Code of Professional Conduct for Financial Advice Services, in relation to financial advice about financial products purchased for investment purposes.
    Tags
    Financial Advice Provider, Financial Adviser, Roles, Business, Nominated representatives
    Type
    PDF

  14. 31 August 2022

    Ark Financial Group DBG

    Ark Financial Group DBG including: Ark Financial Group Limited, and Pounamu Financial Services Limited
    Tags
    AML/CFT, Roles, Designated Business Group (DBG), Business
    Type
    Page

  15. 1 September 2013

    Bureau of Financial Trading

    Bureau of Financial Trading offer financial services in NZ without appropriate registration and have false advertising on their website.
    Tags
    Investor warning, Unregistered business, Consumer
    Type
    Page