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  1. 3 November 2020

    Financial Markets Conduct (Sharesies Limited) Exemption Notice 2020

    The Financial Markets Conduct (Sharesies Limited) Exemption Notice 2020 exempts Sharesies Limited and Sharesies Group Limited in relation to an offer of shares in Sharesies Group Limited to shareholders of Sharesies Limited under a proposed scheme of arrangement pursuant to Part 15 of the Companies Act 1993.
    Tags
    Exemptions, Secondary legislation, Business
    Type
    Page

  2. 29 July 2020

    Financial Markets Conduct (Booster Financial Services Limited) Exemption Notice 2020

    This notice exempts Booster Financial Services Limited (BFSL) and its nominated representatives from certain provisions of the Financial Markets Conduct Act 2013, in relation to the new financial advice regime. The effect of the notice is that BFSL is permitted to have nominated representatives under a transitional licence, and it and its nominated representatives have the benefit of the transitional regime’s competency safe harbour.
    Tags
    Exemptions, Secondary legislation, Business
    Type
    Page

  3. 18 May 2023

    Financial Markets Conduct (Embark Early Education Limited) Exemption Notice 2023

    The Financial Markets Conduct (Embark Early Education Limited) Exemption Notice 2023 exempts Embark Early Education Limited (Embark AU) from Part 3 of the Financial Markets Conduct Act 2013 (the Act) in relation to shares in Embark AU that are to be offered to eligible shareholders under a proposed scheme of arrangement pursuant to Part 15 of the Companies Act 1993.
    Tags
    Exemptions, Business
    Type
    Page, Financial Markets Conduct Act exemptions, Current, Exemption notice

  4. 23 May 2023

    FMA files criminal charges against Yuen Pok (Paul) Loo

    FMA has filed criminal charges against Yuen Pok (Paul) Loo following offences under financial markets legislation.
    Tags
    Media release, Cases, Enforceable undertaking, Powers, News & Insights, Enforcement
    Type
    Page

  5. 13 September 2018

    The essentials of being a director

    This guide is intended to provide company directors and prospective directors with a quick reference and overview of some of the key things they should think about. It outlines some of the legal requirements, ethical considerations and best practice areas for directors to consider, to be effective in their role. It is not intended to be comprehensive and includes links to more detailed resources.
    Tags
    Directors, Roles, Business
    Type
    PDF

  7. 8 July 2011

    Share Buyers Limited (Share Buyers)

    We make the following order against Share Buyers and Share Buyers Associates.
    Tags
    Cases, Direction Order, Powers, Enforcement
    Type
    Page

  9. 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

  10. 1 May 2023

    Matū Group DBG

    Matū Group; Matū Karihi (GP) Limited; Matū Karihi LP; Matū Nominees Limited; Matū Group Limited are designated business groups (DBG)
    Tags
    AML/CFT, Roles, Reporting entities, Business, Designated Business Group (DBG)
    Type
    Page

  12. 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

  13. 26 May 2023

    PTWealthManagement – imposter websites

    We recommend exercising caution when dealing with PTWealthManagement.com and PTWealthManagementLTD.com.
    Tags
    Imposter website, Investor warning, Consumer, Scams
    Type
    Page

  14. 17 December 2015

    Consultation paper: Forestry scheme issues and exemptions proposals

    Consultation paper: Forestry scheme issues and exemptions proposals. We are considering possible exemptions to address some issues faced by forestry schemes in complying with the Financial Markets Conduct Act 2013 (FMC Act).
    Tags
    Consultations, Roles, Business, FMA, Managed investment schemes
    Type
    Page

  15. 24 June 2021

    Investor capability and consumer insights

    Capable, confident and well-informed investors are an essential part of healthy financial markets. Part of the FMA's role is to help investors build this capability and to seek insights from both investors and consumers of other financial services. This page explains the objective of the FMA in building customer capability and how we approach our work in building a safe and transparent financial market.
    Tags
    Regulation, Business, FMA
    Type
    Page