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  1. 24 February 2014

    Settlement reached for Lombard (In Receivership) claims

    PwC, the Receivers of Lombard Finance & Investments Limited, have announced they have reached a settlement agreement with the Lombard Directors and a third party. Read more.
    Tags
    Media release, News & Insights, Enforcement
    Type
    Page

  2. 30 August 2018

    Financial Advisers (Personalised Digital Advice) Exemption Amendment Notice 2018

    The principal notice permits entities listed in Schedule 1 of the notice to provide personalised services to retail clients where those services are provided through a digital advice facility. This notice amends the principal notice to add Nikko Asset Management New Zealand Limited (Nikko Asset Management) to that list of entities.
    Tags
    Exemptions, Secondary legislation, Business
    Type
    Page

  3. 29 August 2023

    Bancorp DBG

    Bancorp DBG including: Bancorp Credit Cards Limited, Bancorp Bancorp Group Limited, Bancorp Income Choice Limited, Bancorp Wealth Management Limited, Castlerock GP Limited, Youown Housing GP Limited, Kakapo Management Limited, Kakapo GP Limited.
    Tags
    AML/CFT, Roles, Reporting entities, Business, Designated Business Group (DBG)
    Type
    Page

  4. 7 December 2022

    GD1 Services Limited DBG

    GD1 Management Limited DBG including: GD1 Management Ltd (5951187), TGF GP Limited (6983195), GD1 Nominees Limited (6080108), GD1 Founding LPs Nominee Limited (5950867), Technology Growth Fund L.P. (50001700)
    Tags
    Roles, Reporting entities, Business, Designated Business Group (DBG)
    Type
    Page

  5. 5 March 2013

    Nathans Finance NZ Ltd

    The Commission alleged that statements concerning Nathans' lending to related parties, the quality of its loan book, its loan management practices and its management of liquidity were untrue. It is also alleged that the directors made untrue statements in a prospectus extension certificate in March 2007. Read more.
    Tags
    Court – criminal, Powers, Enforcement
    Type
    Page

  6. 31 August 2022

    Medical Assurance Society DBG

    Medical Assurance Society DBG including: Medical Assurance Society New Zealand Limited, Medical Securities Limited, and Medical Funds Management Limited
    Tags
    AML/CFT, Roles, Designated Business Group (DBG), Business
    Type
    Page

  7. 4 May 2017

    Consultation paper: Proposed guidance on substantial product holder disclosures

    Consultation paper: Proposed guidance on substantial product holder disclosures. This will be of interest to fund management firms, those who have a substantial product holding in a listed issuer, and any other interested parties.
    Tags
    Offer disclosure for equity and debt offers, Managed investment schemes, Supervisor, Consultations, Roles, Business
    Type
    Page

  8. 31 August 2015

    Become Wealth Ltd

    Become Wealth Ltd, previously known as Milestone Direct Limited, FSP249805, is licensed to provide Discretionary Investment Management Services (DIMS).
    Tags
    Discretionary investment management scheme (DIMS), Licensed entity, Roles, Reporting entities, Business
    Type
    Page

  9. 8 April 2024

    Derivatives issuers

    A derivatives issuer that makes a regulated offer of derivatives must be licensed by the FMA. This page contains information about derivatives, obligations for derivatives issuers, and who needs to comply.
    Tags
    Compliance, Derivative Issuer, Obligations, Licensing & registration, Roles, Business
    Type
    Page

  11. 13 May 2024

    Report a scam

    If you suspect you have been targeted by an investment or financial scam, report the scam to the FMA.
    Tags
    Suspected scam, Scams
    Type
    Page

  12. 28 November 2022

    Cryptocurrencies

    Cryptocurrencies are high risk, speculative products that operate differently to traditional investments. Only invest what you can afford to lose and use New Zealand-based platforms to give yourself some level of protection.
    Tags
    Crypptocurrencies, Consumer
    Type
    Page

  13. 21 July 2022

    Regulatory approach

    We expect all market participants to pursue the objectives and spirit of regulation rather than the letter of the law. We supervise and monitor market participants in line with our statutory objectives. We supervise and monitor market participants in line with our statutory objectives. Where we see misconduct in financial markets, we seek to hold those responsible to account. These pages provide you more information on our regulatory and enforcement approach.
    Tags
    Regulation, Regulatory cooperation, Business, FMA
    Type
    Page

  14. 21 May 2024

    Investment advice

    An investment adviser works with you to: Understand your needs and goals,
    find options to suit your situation, explain how each investment works, the risks and possible returns, and what it costs, and more.
    Tags
    Financial advice, Get advice, Investment advice, Investing, Consumer
    Type
    Page

  15. 21 September 2022

    Consolidated managed fund data

    Quarterly files with consolidated data for non-KiwiSaver managed funds.
    Tags
    Roles, Reports and Papers, Business, Managed investment schemes, News & Insights, Supervisor
    Type
    Page, Report