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Found 1933 results. Displaying page 85 of 129

  1. 8 December 2016

    FMA releases AML/CFT monitoring report

    The FMA has today published its third annual AML/CFT monitoring report.
    Tags
    AML/CFT, Media release, Roles, Business, News & Insights
    Type
    Page

  2. 12 August 2014

    Strategic Finance settlement proceeds to first distribution

    In June this year PwC Partners John Fisk and Colin McCloy, as Receivers of Strategic, together with the Financial Markets Authority, announced they had finalised a $22 million settlement agreement with the former directors and auditors of Strategic.
    Tags
    Media release, News & Insights
    Type
    Page

  3. 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

  5. 12 December 2022

    Krypto Security charges non-existent fees

    A New Zealand resident was charged large fees by Krypto Security who claimed to be able to help recover stolen cryptocurrencies.
    Tags
    Fake regulator, Suspected scam, Scams
    Type
    Page

  6. 26 April 2017

    JJ Matthias Asset Management

    JJ Matthias Asset Management is not registered as a Financial Service Provider in New Zealand and is therefore not permitted to provide financial services to New Zealand residents.
    Tags
    Suspected scam, International regulator alerts, Scams
    Type
    Page

  7. 21 October 2019

    Lonni Investment

    Lonni Investment is not licensed or regulated in New Zealand as a financial service provider.
    Tags
    Unregistered business, Investor warning, Consumer, Scams
    Type
    Page

  8. 20 January 2021

    FADC decision published

    The Financial Advisers Disciplinary Committee (FADC) has today published its decision regarding a case brought by the FMA.
    Tags
    Cases, Compliance, Financial advice, Media release, Business, Consumer, News & Insights, Enforcement
    Type
    Page

  9. 10 March 2021

    Financial adviser censured for code breaches

    The Financial Advisers Disciplinary Committee (FADC) has censured an Authorised Financial Advisor (AFA) following a case brought by the FMA. Read the decision on breaches and decision on penalty here.
    Tags
    Media release, News & Insights, Enforcement
    Type
    Page

  10. 17 December 2013

    FMA guidance helps consumers access financial advice

    The Financial Markets Authority has released guidance documents to help financial advisers give high-quality personalised advice.
    Tags
    Media release, Consumer, News & Insights
    Type
    Page, Guidance

  11. 5 July 2019

    Statement on the Kiwi Access Card

    The status of the new Kiwi Access card is considered to be the same as the older 18+ card for the purposes of the IVCOP. This approach is in-line with the Evidence of Identity standard factsheet on the Kiwi Access Card/18+ Card, which treats them as the same form of identification.
    Tags
    Roles, Business, Managed investment schemes, Supervisor
    Type
    Page, Guidance, Information Sheet

  12. 26 January 2021

    ASX 24 derivatives market review released

    The Financial Markets Authority (FMA) has published the findings of its obligations review of the ASX 24 derivatives market for the period of 1 July 2018 to 30 June 2020.
    Tags
    Compliance, Derivatives, Ways to invest, Investing, Roles, Media release, Business, Consumer, Market operator, News & Insights
    Type
    Page

  14. 4 August 2023

    WPS Management – impersonates genuine licensed entity

    There are false claims on a WPS Management website that it is a New Zealand Financial Service Provider (FSP), using the company name and FSP registration details of WPS Management Limited.
    Tags
    Suspected scam, Investor warning, Consumer, Scams
    Type
    Page