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  4. 25 September 2019

    FMA welcomes Government announcement on expanded remit

    The FMA (Financial Markets Authority) welcomed the Government’s announcement that it would introduce legislation to create an oversight regime for regulating conduct in the banking and insurance sectors.
    Tags
    Governance, Media release, FMA, News & Insights
    Type
    Page

  6. 31 August 2022

    FINANCIAL FOCUS (NEW ZEALAND) LTD

    FINANCIAL FOCUS (NEW ZEALAND) LTD is an AML reporting entity
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  9. 31 August 2022

    FINANCIAL PLANNING NEW ZEALAND LTD

    FINANCIAL PLANNING NEW ZEALAND LTD is an AML reporting entity
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  11. 19 October 2020

    United Commonwealth Financial Protection Board

    We are concerned United Commonwealth Financial Protection Board is associated with Howden Global Acquisition Group, an entity that we have published a warning about.
    Tags
    Fake regulator, Suspected scam, Scams
    Type
    Page

  12. 1 January 2016

    Option Financial Markets (Option FM)

    Warnings issued in relation to B.O. Technologies Limited trading as Option Financial Markets (Option FM).
    Tags
    International regulator alerts, Scams
    Type
    Page

  14. 22 December 2010

    New Conditions for Qualifying Financial Entities

    The Securities Commission has published the standard conditions Qualifying Financial Entities (QFEs) will need to abide by when their employees and representatives give financial advice.
    Tags
    Media release, News & Insights
    Type
    Page

  15. 2 June 2010

    Guide for Authorised Financial Advisers Released

    The Securities Commission today released the AFA Adviser Business Statement Guide to help financial advisers prepare for the new regulatory regime. The guide explains the document to be prepared by an adviser applying to become an Authorised Financial Adviser (AFA).
    Tags
    Media release, News & Insights
    Type
    Page, Guidance