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  2. 19 February 2015

    FMA DIMS seminar presentation

    The Christchurch DIMS Seminar powerpoint provides information about: What is a DIMS; when is it DIMS; when it's not DIMS; an example of DIMS; types of DIMS; contingency DIMS requirements, client agreements, investment authorities, what AFAs should do; DIMS that aren't Contingency DIMS; what is considered personalised or Class?,; decisions for AFAs currently authorised for DIMS; licensing action; tips and fees.
    Tags
    Discretionary investment management scheme (DIMS), Roles, Business
    Type
    Page, Guidance

  3. 5 October 2020

    Investing Myth #6: 'Investing is too difficult and time-consuming'

    ‘Investing is too difficult and time-consuming’ is an investing myth that is debunked by Mary Holm for the FMA. She talks about how investing doesn’t have to be hard for inexperienced investors on this page.
    Tags
    Investment basics, Investing, Consumer
    Type
    Page

  4. 20 February 2020

    FMA Debate discusses whether passive or active management is best

    Leaders from New Zealand’s investment industry gathered in Auckland last night (19 Feb 2020) to debate whether investors benefit more from passive or active fund management, a topic that is dividing the sector.
    Tags
    Media release, Managed funds, Campaigns, Ways to invest, Investing, Consumer, News & Insights
    Type
    Page

  5. 18 March 2022

    Impact of Russia Sanctions on AML/CFT reporting entities

    An update from the three AML/CFT Act supervisors to reporting entities on what is required of them under the Russia Sanctions Act 2022.
    Tags
    AML/CFT, Legislation, AML/CFT act 2009, Roles, Business
    Type
    PDF

  6. 21 December 2011

    Stock & Share Trading Company Pty Ltd

    FMA asked Stock & Share Trading Company Pty Ltd for an enforceable undertaking and issued warning disclosure order to include FMA warning letter with any unsolicited offer they make to ensure investors make an informed decision. Read more.
    Tags
    Enforceable undertaking, Powers, Enforcement
    Type
    Page

  8. 13 June 2016

    FMA approves class exemptions that recognise existing regulation of overseas issuers

    We have approved a series of class exemptions for overseas issuers which allow issuers making offers to New Zealand investors to rely on the disclosure, governance, financial reporting and audit requirements of their overseas jurisdiction where their regulatory standards are equivalent to New Zealand’s.
    Tags
    Regulation updates, Business
    Type
    Page

  9. 19 October 2020

    Howden Global Acquisition Group

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

  10. 7 March 2023

    Investing basics

    Understand the basics of investing by working out what kind of investor you are and learning the skills to manage your investments confidently. Helping investors make better informed decisions.
    Tags
    Investing, Investment basics, Consumer
    Type
    Page

  11. 18 March 2022

    Impact of Russia Sanctions on AML/CFT reporting entities

    An update from the three AML/CFT Act supervisors to reporting entities on what is required of them under the Russia Sanctions Act 2022.
    Tags
    AML/CFT, AML/CFT act 2009, Roles, Legislation, Business
    Type
    Page, Guidance

  13. 24 July 2013

    FMA files first market manipulation case in New Zealand

    FMA filed and served civil proceedings against Brian Peter Henry alleging market manipulation of shares in the NZX-listed Diligent Board Member Services. Read more.
    Tags
    Media release, News & Insights, Enforcement
    Type
    Page

  14. 7 August 2014

    Brian Peter Henry

    At the Auckland High Court, Mr Henry admitted FMA allegations that he breached the market manipulation prohibitions in the Securities Markets Act 1988, and a pecuniary penalty of $130,000 was imposed by the Court.
    Tags
    Cases, Market manipulation, Enforcement
    Type
    Page

  15. 8 November 2022

    Mortgage advice

    A mortgage adviser works with you to: Understand your needs and goals, work out what you can afford to borrow, find options to suit your situation and more. A mortgage adviser is a go-between who deals with banks or other lenders to arrange a home loan for you.
    Tags
    Financial advice, Get advice, Mortgage advice, Investing, Consumer
    Type
    Page