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  1. 24 February 2015

    Related-party transactions under the Financial Markets Conduct Act 2013

    Related-party transactions under the Financial Markets Conduct Act 2013 information sheet outlines the rules on related-party transactions that apply to managed investment schemes under the Financial Markets Conduct Act 2013 (FMC Act).
    Tags
    Roles, Supervisors, Business, Managed investment schemes
    Type
    Page, Guidance

  2. 26 January 2024

    Investing New Zealand - Comparison site harvesting investor details

    We are concerned that Investing New Zealand may be operating a scam. It operates a website claiming to compare term deposit rates which states it offers “deposit protection up to $100,000 NZD per investment”, however no such scheme is currently offered in New Zealand.
    Tags
    Suspected scam, Investor warning, Consumer, Scams
    Type
    Page

  4. 7 April 2008

    Foodstuffs (Wellington) Co-Operative Society Limited

    The Foodstuffs (Wellington) Co-operative Society Limited and its directors undertakes that they will not offer securities to the public for subscription, other than in an investment statement, registered prospectus, or authorised advertisement that complies with the Securities Act and the Regulations, or in accordance with any applicable exemption granted by the Commission. Read more.
    Tags
    Enforceable undertaking, Powers, Enforcement
    Type
    Page

  5. 10 December 2021

    Spotlight on: IPOs

    FMA editorial team talks about IPOs and things to look out for before you invest.
    Tags
    Investor information, Article, Consumer, News & Insights
    Type
    Page

  6. 28 May 2021

    strandcapital.io

    We are concerned that www.strandcapital.io (the website) may be operating a scam. The website offers investment plans with unrealistically high returns. We are aware of an investor in the website being unable to withdraw his investment.
    Tags
    Imposter website, Suspected scam, Scams
    Type
    Page

  7. 1 December 2013

    Identity Verification Code of Practice

    Identity Verification Code of Practice provides a suggested best practice for all reporting entities conducting name and date of birth identity verification on customers (that are natural persons) they have assessed to be low to medium risk.

    Tags
    AML/CFT, Roles, Business
    Type
    Page, Guidance

  8. 11 July 2019

    Warning: MBI International/MFC Club

    The FMA has issued a further warning to investors about a Malaysian-based loyalty scheme, MBI International, also trading as MFC Club (MFC Club).
    Tags
    Media release, News & Insights, Scams
    Type
    Page

  9. 8 September 2014

    Consultation Paper: Derivatives Issuer Standard Condition on Suitability - Suitability of products for clients

    In November 2013 the Financial Markets Authority consulted on the minimum standards and conditions for derivatives issuers wishing to be licensed under the Financial Markets Conduct Act 2013 (the Act). As part of that consultation we sought responses on a condition relating to the assessment of suitability of products for clients. Two options were provided, one being disclosure based and the other an assessment by the issuer.
    Tags
    Derivative Issuer, Consultations, Roles, Business
    Type
    PDF

  11. 6 October 2023

    9XProfits – Suspected scam

    We recommend caution when dealing with 9XProfits and its website.
    Tags
    Suspected scam, Investor warning, Consumer, Scams
    Type
    Page

  12. 15 June 2011

    FMA issues interim order against GFNZ Group

    The Financial Markets Authority has made an interim order to stop allotment of securities by GFNZ Group Limited (formerly known as Geneva Finance Limited).
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  15. 16 January 2012

    AML/CFT guide for small financial adviser businesses

    The AML/CFT guide for small financial adviser businesses is designed to help financial advisers working independently or in a small business comply with their obligations under the Anti-Money Laundering and Countering the Financing of Terrorism Act 2009 (the AML/CFT Act) and associated regulations (together AML/CFT law).
    Tags
    AML/CFT, Roles, Business
    Type
    Page, Guidance