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  1. 5 April 2023

    Here’s why complaints are really 'moments of truth'

    Clare Bolingford, FMA Executive Director Regulatory Delivery talks about the value of complaints to financial services companies.
    Tags
    Banking, Conduct, Insurance Providers, Conduct of Financial Institutions Bill (CoFI), Business, News & Insights
    Type
    Page

  2. 13 December 2021

    Craigs DBG

    Craigs DBG including: CIP Cash Management Nominees Limited, CIP Nominees No 1 Limited, Craigs Investments Partners Limited, Craigs Investment Partners Superannuation Management Limited, Custodial Services Limited, DEL Management Limited, Deutsche Craigs Limited, Hendry Nominees Limited, Karaka Management Limited, Karaka Nominees No 1 Limited, Kowhai PE Management Limited, Kowhai PE Nominees No1 Limited, Matai Management Limited, Matai Nominees No.1 Limited, NZSIF Management Limited, Pilot Bay Funds Management Limited, Pohutukawa Management Limited, Pohutukawa II Management Limited, and QuayStreet Asset Management Limited
    Tags
    AML/CFT, Roles, Reporting entities, Business, Designated Business Group (DBG)
    Type
    Page

  3. 12 March 2018

    Consultation: Content of regulatory returns for licensed DI MIS managers and DIMS providers

    This consultation is for licensed derivative issuers, managers of managed investment schemes, providers of discretionary investment management services, and other interested parties. It aims to gain feedback on our proposals for regulatory returns for licensed DI, MIS managers and DIMS providers.
    Tags
    Derivative Issuer, Discretionary investment management scheme (DIMS), Consultations, Roles, Business, Managed investment schemes
    Type
    PDF

  4. 21 August 2020

    MyFiduciary Report 2020

    This report was commissioned by the Financial Markets Authority (FMA). In the report we examine how active or passive each KiwiSaver Provider is. We also examine whether investment management fees differ between active and passive approaches.
    Tags
    Reports and Papers, KiwiSaver providers, Roles, Business, Managed investment schemes, News & Insights, Supervisor
    Type
    PDF

  5. 18 June 2014

    Licensing guide - small DIMS businesses

    This guide supplements our main licensing application guide. It outlines how a small business providing lower risk Discretionary Investment Management Services (DIMS) can approach an
    application for a DIMS licence under the Financial Markets Conduct Act 2013 (FMC Act).
    Tags
    Discretionary investment management scheme (DIMS), Licence guide, Roles, Licensing & registration, Business
    Type
    PDF

  6. 2 March 2023

    Direct Capital VI DBG

    Direct Capital VI DBG including: Direct Capital Limited, Direct Capital IV Management Limited
    Tags
    AML/CFT, Roles, Reporting entities, Business, Designated Business Group (DBG)
    Type
    Page

  8. 10 May 2024

    AML/CFT customer due diligence: trusts

    A trust is an arrangement where a person (the settlor) gives money or property to another person (the trustee), to be held in trust for the benefit of either the trust’s beneficiaries, or a purpose recognised by law. The AML/CFT customer due diligence: trusts fact sheet should be read in conjuction with the beneficial ownership guideline.
    Tags
    AML/CFT, Roles, Independent trustee, News, Business, News & Insights
    Type
    Page, Guidance

  9. 22 July 2015

    Lombard Finance & Investments

    The breaches relate to Lombard's failure to disclose information to the market, such as loan book quality and liquidity, regarding the performance of its finance company subsidiary Lombard Finance and Investments Limited (LFIL). Read more.
    Tags
    Enforcement
    Type
    Page

  10. 16 February 2022

    FMA investor profile - Bradie Claydon

    This month's FMA Investor Profile features Bradie Claydon, a wife and mum of three who is a Registered Legal Executive by day and runs the social media platform Kiwi Girl on a Budget in her spare time.
    Tags
    Investing, Insights, Article, Consumer, News & Insights
    Type
    Page

  12. 20 May 2022

    FMA warning: E-capital Forex

    WARNING: E-Capital is not an incorporated company in New Zealand or registered financial service provider (FSP). It is not authorised by, nor associated with Trademax Global Markets (NZ) Limited (Trademax). It uses Trademax’s FSP registration number, trademark, and website design without permission.
    Tags
    Imposter website, Suspected scam, Scams
    Type
    Page

  13. 25 May 2023

    Sustainable? Ethical? The substance must back up the claims

    Paul Gregory, Executive Director Response and Enforcement, FMA talks about greenwashing and how misleading or false claims about social or environmental benefits go to the heart of fair dealing, and how the overall impression provided by marketing materials is critical.
    Tags
    Roles, Business, News & Insights, Supervisor
    Type
    Page

  14. 10 October 2022

    Ethical investing

    Ethical investing, responsible investing, green finance, sustainable investing, social investing, ESG. Whatever you call it, many of us are keen to align our investment choices to our values. But before you jump in because an investment claims to be ‘ethical’, take a deeper look at what you’re investing in and other factors you may need to consider.
    Tags
    Bonds, Ways to invest, Investing, Consumer
    Type
    Page