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  1. 5 April 2024

    Authorised body under a financial advice provider licence

    An authorised body is an entity (eg company or partnership) named on a Financial Advice Provider licence. A licensed FAP must agree to an authorised body operating under its licence. The authorised body must be named on the financial advice provider’s transitional licence application, and the licensed FAP will be required to provide information about the authorised body when it applies for its licence.
    Individuals cannot be authorised bodies under a FAP licence and individual financial advice provider licence holders cannot engage authorised bodies under their licences.
    Find out more about registration, costs, ongoing obligations, duties, standard consitions, general reporting conditions, code of professional conduct, competency safe harbour, and liability and enforcement on this page.
    Tags
    Compliance, New Financial Advice regime, Authorised body under a FAP, Obligations, Licensing & registration, Roles, Financial Services Legislation Amendment Act (FSLAA), Business
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  2. 5 March 2013

    Nathans Finance NZ Ltd

    The Commission alleged that statements concerning Nathans' lending to related parties, the quality of its loan book, its loan management practices and its management of liquidity were untrue. It is also alleged that the directors made untrue statements in a prospectus extension certificate in March 2007. Read more.
    Tags
    Court – criminal, Powers, Enforcement
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  3. 10 May 2016

    Management bans and undertakings of non-participation

    Listed below are individuals who are precluded from engaging in certain activities in respect of the governance and/or management of companies as a consequence of action taken by the FMA.
    Tags
    Enforceable action, Enforceable undertaking, Powers, Enforcement
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  4. 2 September 2022

    The 5 D’s of DIY investing

    Follow these tried and tested principles to help you navigate DIY investing.
    Tags
    Investing, Consumer
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  5. 4 March 2020

    Cash investments

    Cash investments include savings accounts and term deposits with a bank, credit union or building society. You can also invest cash through a managed fund (this includes KiwiSaver) which pools together money from individuals for investments, managed by a fund manager. Cash investments are relatively safe because you’re promised a fixed interest rate. But the returns you get through interest rates tend to be low, so they’re not always the best option – particularly if you’re saving for retirement. Find out more about the risks, returns and costs associated with investing in cash here.
    Tags
    Cash investments, Ways to invest, Investing, Consumer
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  6. 4 March 2020

    Foreign exchange trading

    Forex trading is the buying and selling of foreign currencies. People trade in forex either to try to make a quick profit by betting on the changing value of a currency or to provide certainty about the cost of future foreign currency payments (called ‘hedging’).The risk of online foreign exchange trading is high. We regularly receive complaints and enquiries from consumers who have lost money in online forex trading. Find out more about the risks and returns here.
    Tags
    Foreign exchange, Ways to invest, Investing, Consumer
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  7. 10 October 2022

    Ethical investing

    Ethical investing, responsible investing, green finance, sustainable investing, social investing, ESG. Whatever you call it, many of us are keen to align our investment choices to our values. But before you jump in because an investment claims to be ‘ethical’, take a deeper look at what you’re investing in and other factors you may need to consider.
    Tags
    Bonds, Ways to invest, Investing, Consumer
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  8. 16 January 2024

    Insurance

    When you buy insurance products, you have certain rights and your provider has obligations to make sure you're treated fairly and those products suit your needs. The FMA monitors both insurers and the financial advisers selling insurance products to ensure they are delivering those outcomes.

    Tags
    Insurance, Life insurance, General and other insurance, Consumer
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  10. 19 January 2012

    FMA and SFO sign Memorandum of Understanding

    The Financial Markets Authority (FMA) and the Serious Fraud Office (SFO) have signed a Memorandum of Understanding (MOU) which will enhance their already close working relationship and drive greater efficiencies between the two agencies.
    Tags
    Media release, FMA, News & Insights
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  11. 9 August 2011

    FMA announces appointment and reappointments to Code Committee

    The Board of the Financial Markets Authority has appointed Dimity Kingsford-Smith, a Professor of Law at the University of New South Wales, to the Code Committee for Authorised Financial Advisers for a term of three years.
    Tags
    Media release, News & Insights
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  12. 16 July 2010

    Finance & Investments Partners Enforceable Undertaking

    The Securities Commission has accepted enforceable undertakings from the partners of Finance & Investments, Mr Andrew Harding and Mr Murray Scholfield.
    Tags
    Media release, Cases, News & Insights, Enforcement
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  13. 14 May 2014

    FMA seeks comments on proposed class exemption to apply to initial public offers

    Consultation paper: FMA seeks comments on proposed class exemption to apply to initial public offers. The Financial Markets Authority (FMA) is planning to consult on a proposed class exemption for firms making initial public offers (IPOs). Read more.
    Tags
    Offer information, Consultations, Exemptions, Business
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