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  2. 22 October 2020

    16th Annual Financial Markets Law Conference

    Liam Mason, director of regulation for the Financial Markets Authority, gave an address to the 16th Annual Financial Markets Law Conference in October, 2020.
    Tags
    Speeches and presentations , News & Insights
    Type
    PPT

  3. 13 November 2023

    Financial Market Infrastructures Act Designation Notice (NZClear) 2023

    Financial Market Infrastructures Act Designation Notice NZ Clear 2023 was issued under clause 4 of Schedule 1 of the Financial Market Infrastructures Act 2021 by the Reserve Bank of New Zealand and the Financial Markets Authority, and has legal effect.
    Tags
    Designations, Business
    Type
    Page

  4. 20 April 2016

    Using behavioural insights to improve financial capability

    Using behavioural insights to improve financial capability aims to assist through providing insights that will serve to improve policy design and consumer protection regulation and supervision.
    Tags
    Cryptocurrencies, Discretionary investment management scheme (DIMS), Roles, Crowdfunding providers, Banking, Offer information, Reports and Papers, Insurance Providers, Business, News & Insights, Peer-to-peer lending service providers
    Type
    Page

  5. 31 March 2011

    D-day for Financial Advisers

    From 1 April, all financial advisers, or the companies they work for, have to be registered on the online Financial Service Providers Register, www.fspr.govt.nz. Advisers who should be on the register, but aren't risk hefty penalties.
    Tags
    Media release, News & Insights
    Type
    Page

  6. 20 May 2019

    Audit Quality Perceptions - research summary 2019

    The FMA commissioned Buzz Channel to conduct research to help understand how users of audit services in New Zealand perceive auditors’ contribution to fair, efficient and transparent NZ financial markets.
    Tags
    Reports and Papers, Auditors, Roles, Business, News & Insights
    Type
    PDF, Research

  7. 21 July 2022

    Regulatory approach

    We expect all market participants to pursue the objectives and spirit of regulation rather than the letter of the law. We supervise and monitor market participants in line with our statutory objectives. We supervise and monitor market participants in line with our statutory objectives. Where we see misconduct in financial markets, we seek to hold those responsible to account. These pages provide you more information on our regulatory and enforcement approach.
    Tags
    Regulation, Regulatory cooperation, Business, FMA
    Type
    Page

  8. 23 December 2020

    Ding Sheng International Co. Ltd

    Ding Sheng International Co. Ltd could be involved in a scam. It is not a NZ company and is not registered in NZ to offer financial services to NZ clients.
    Tags
    Suspected scam, Scams
    Type
    Page

  9. 4 December 2020

    ARA Prescribed Minimum Standards and Conditions

    An auditor/audit firm must meet the minimum standards and conditions as prescribed under section 32 of the Auditor Regulation Act 2011. Read more about these standards and conditions.
    Tags
    Auditors, Licensing & registration, Roles, Business
    Type
    Page

  10. 15 July 2016

    ACI

    There is no connection between the website www.acifxgold.com and Apex Capital Investments Limited, the former name of a New Zealand incorporated company, nor are the activities of the website subject to regulation in New Zealand.
    Tags
    Imposter website, Scams
    Type
    Page

  11. 5 July 2023

    OKX Pro – Unregistered, withholding funds

    OKX Pro offers cryptocurrency products through its website. OKX Pro is based overseas but does not appear to be subject to regulation by any overseas regulator. It is unreasonably withholding funds and requesting further funds to enable withdrawals.
    Tags
    Suspected scam, Investor warning, Consumer, Scams
    Type
    Page

  12. 19 September 2023

    Craigs Investment Partners Self-select schemes

    The FMA granted a waiver of part of the FMA levy to Craigs Investment Partners Self-Select Schemes (Craigs) on 9 October 2023 pursuant to Regulation 14 of the Financial Markets Authority (Levies) Regulations 2012.
    Tags
    Waivers, Roles, Business, Managed investment schemes
    Type
    Page

  13. 2 March 2021

    Aplexva

    Aplexva is not a registered entity or financial service provider in New Zealand and is not subject to regulation in New Zealand. We are concerned that Aplexva may be operating a scam. Aplexva’s claims of operating from New Zealand are incorrect.
    Tags
    Imposter website, Suspected scam, Scams
    Type
    Page

  14. 1 July 2021

    Expand Asset Global Limited

    Expand Asset Global Limited is not licensed or registered in NZ.
    Tags
    Investor warning, Unregistered business, Consumer
    Type
    Page