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  2. 28 January 2015

    FMA and NZX sign Memorandum of Understanding

    FMA and NZX have signed a Memorandum of Understanding. The MoU sets out the framework for engagement and co-operation between the FMA and NZX, taking into account their complementary regulatory responsibilities for New Zealand’s capital markets.
    Tags
    Governance, Media release, FMA, News & Insights
    Type
    Page

  4. 17 March 2011

    Commission Warns About More Unsolicited Offers

    The Securities Commission is alerting investors to be wary of further unsolicited offers from NZ Investment Securities LP for Vector Limited shares and Carlyle Securities LP for Contact Energy shares.
    Tags
    Scams
    Type
    Page

  5. 24 March 2021

    FMA directs Rockfort Markets to address misleading advertising

    The Financial Markets Authority (FMA) has directed licensed derivatives issuer (DI) Rockfort Markets to remove or amend misleading advertising statements on its social media channels and website.
    Tags
    Derivatives, Ways to invest, Investing, Media release, Consumer, FMA, News & Insights, Enforcement
    Type
    Page

  6. 23 May 2023

    Nautilus Advisers Limited

    Nautilus Advisers Limited, FSP716152 is an AML reporting entity
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  8. 27 July 2021

    FMA warns investors about scammers impersonating NZ derivatives issuer

    The Financial Markets Authority (FMA) - Te Mana Tātai Hokohoko – is warning investors to be wary of scammers impersonating New Zealand-based derivatives issuer Rockfort Markets Limited.
    Tags
    Media release, Derivative Issuer, Roles, Business, News & Insights, Scams
    Type
    Page

  9. 19 August 2019

    Rockfort Markets Limited

    Rockfort Markets Limited, FSP509766, previously known as GPP Markets Limited is a licensed derivatives issuer.
    Tags
    Derivative Issuer, Licensed entity, Roles, Reporting entities, Business
    Type
    Page

  10. 4 September 2020

    Rockfort Markets Limited

    Rockfort Markets Limited (formerly GPP Markets Limited) is an AML/CFT reporting entity
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  11. 26 May 2023

    Kakapo Fund Limited Partnership

    Kakapo Fund Limited Partnership, FSP1005322 is an AML reporting entity
    Tags
    Reporting entities, Business
    Type
    Page

  12. 26 May 2023

    Matū Ngota (GP) Limited

    Matū Ngota (GP) Limited, FSP1004865 is an AML reporting entity
    Tags
    Reporting entities, Business
    Type
    Page

  13. 26 May 2023

    Fake offer of Suncorp fixed term deposit

    WARNING: We are aware that a New Zealand resident is unable to recover the money paid for a fixed term deposit purporting to be offered by Suncorp New Zealand.
    Tags
    Suspected scam, Investor warning, Consumer, Scams
    Type
    Page

  14. 2 February 2023

    AON NEW ZEALAND

    AON NEW ZEALAND is an AML reporting entity.
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  15. 15 May 2017

    Consultation paper: Class designation of shares to managed investment products in an MIS

    Consultation paper: Class designation of shares to managed investment products in an MIS. This consultation paper considers when shares in investment companies may be designated as managed investment products (MIPs). Being MIPs subject these investment companies to the licensing, disclosure and governance requirements of managed investment schemes.
    Tags
    Investing, Consultations, Roles, Business, Consumer, Managed investment schemes
    Type
    Page