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  1. 29 August 2013

    Phoenix Forex Limited

    We believe that Phoenix Forex’s claims about the level of returns made by the Oak FX foreign exchange trading system are untrue, and that Phoenix Forex is misrepresenting the profitability of, and risks associated with, its trading system.
    Tags
    Suspected scam, Scams
    Type
    Page

  2. 9 September 2015

    Consultation paper: Proposed FMC Act exemption for offers made through AFAs providing personalised DIMS

    Consultation paper: Proposed FMC Act exemption for offers made through AFAs providing personalised DIMS. The FMA is seeking comment on whether there is a need for exemption relief for offerors who sell financial products through AFAs providing personalised discretionary investment management services (DIMS) under the Financial Advisers Act 2008 (FA Act).
    Tags
    Offer information, FMC Act, Legislation, Discretionary investment management scheme (DIMS), Consultations, Roles, Business
    Type
    Page

  3. 21 July 2017

    Consumers tell FMA about financial providers’ conduct

    The FMA has completed its first survey of consumers’ experience of conduct. It follows the publication of the FMA’s guide to its view of conduct earlier this year. This focused on the ‘five Cs for good conduct’: capability, conflict, culture, controls and communication.
    Tags
    Conduct, Media release, Business, News & Insights
    Type
    Page

  4. 19 November 2020

    Rise in scams impersonating NZ businesses during COVID-19

    From 1 April to 5 November 2020, the FMA issued 61 warnings about investment scams, of which 21 (or 34%) were impostor scams, where the names and details of legitimate businesses are unlawfully used by scammers to trick investors, such as fake websites or social media accounts. By comparison, in the same timeframe during 2019, the FMA issued 40 warnings and only four (10%) were impostor scams. Read the media release.
    Tags
    COVID-19, FMA stories, Media release, Consumer, News & Insights, Scams
    Type
    Page

  5. 12 October 2021

    Consultation on the review of AML/ CFT laws

    The Government, led by the Ministry Department of Justice, is reviewing the Anti-Money Laundering and Countering Financing Act 2009 (the Act). The Act helps to keep Aotearoa New Zealand safe from money laundering and terrorism financing, so our country has a trustworthy and legitimate financial system.
    Tags
    AML/CFT, Roles, Business
    Type
    Page, Consultation

  6. 15 July 2019

    Financial Markets Conduct (Napier Port Holdings Limited) Exemption Notice 2019

    As per Financial Markets Conduct (Napier Port Holdings Limited) Exemption Notice 2019, Napier Port is exempted, in respect of the priority offer, from section 80(1) of the Act to the extent that that clause applies to the priority offer as a result of a PDS event; or a register entry event.
    Tags
    Exemptions, Secondary legislation, Business
    Type
    Page

  8. 20 February 2015

    Consultation paper: Going Public – A Director’s Guide

    Going Public – A Director’s Guide is intended to help directors assess whether going public is the right choice for their company and to provide an insight into the process of becoming a public company.
    Tags
    Directors, Roles, Consultations, Business
    Type
    Page

  9. 8 August 2018

    Consultation paper: Proposed exemption for restricted schemes from custodian assurance requirements

    Consultation paper: Proposed exemption for restricted schemes from custodian assurance requirements. It is proposed that it will be a condition of the exemption that the scheme’s administration manager obtain an assurance engagement. We seek your feedback on our proposals.
    Tags
    Client money or property services provider, Managed investment schemes, Consultations, Roles, Business
    Type
    Page

  10. 25 August 2020

    Exemption: Banks and NBDTs August 2020

    24 August: The RBNZ and FMA have received an exemption for registered banks and licensed non-bank deposit takers (NBDTs) to carry out critical financial services at Alert Level 3.
    Tags
    COVID-19, News & Insights
    Type
    Page

  11. 16 November 2017

    Consultation paper: Proposed exemption to facilitate personalised digital advice

    Consultation paper: Proposed exemption to facilitate personalised digital advice. We are now open for applications by providers for the exemption. Read more about it here.
    Tags
    Financial Advice Provider, Financial Adviser, Interposed persons under new financial advice regime, Consultations, Roles, Business
    Type
    Page

  12. 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

  13. 16 January 2017

    Consultation paper: Requirement for managers of multiple participant schemes to register participation agreements

    Consultation paper: Requirement for managers of multiple participant schemes to register participation agreements. The proposal is to exempt these managers from the requirement to register participation agreements entered into with the various employers they service which form part of the scheme’s governing document.
    Tags
    Managed investment schemes, Supervisor, Consultations, Roles, Business
    Type
    Page

  15. 7 May 2019

    Financial Advisers (Personalised Digital Advice) Exemption Amendment Notice (No 2) 2019

    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 Sharesies Limited (Sharesies) to that list of entities. Read more.
    Tags
    Exemptions, Secondary legislation, Business
    Type
    Page