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Found 1611 results. Displaying page 51 of 108

  1. 26 January 2012

    FMA to issue guidance on effective disclosure in offer documents

    The Financial Markets Authority has published draft guidance for securities issuers, directors and their advisers on how to prepare and present effective prospectuses and investment statements.
    Tags
    Media release, News & Insights
    Type
    Page, Guidance

  2. 20 May 2016

    FMA orders Cambrian to change misleading materials

    The FMA has ordered a foreign exchange educator to change its marketing materials on the basis that they were misleading or deceptive, and it had made unsubstantiated statements about its services.
    Tags
    Media release, News & Insights
    Type
    Page

  3. 14 October 2021

    FMA censures Jarden for derivatives issuer licence breaches by OMF

    FMA has formally censured Jarden Securities Limited for contraventions by OM Financial Limited (OMF) as a licensed derivatives issuer (DI).
    Tags
    Compliance, Derivative Issuer, Enforceable action, Roles, Media release, Business, News & Insights, Enforcement
    Type
    Page

  4. 13 February 2020

    IOS Investments Limited

    IOS Investments Limited may be involved in a scam. The FMA urges investors to exercise caution ahead of investing in this entity.
    Tags
    Suspected scam, Scams
    Type
    Page

  5. 4 April 2014

    Securities Trustees and Statutory Supervisors - Feedback from monitoring visits

    The findings in this report reflect common issues recorded during our on-site visits of licensees and summarises the overall assessment of monitoring quality (section 1). It also provides key messages for licensees (section 2) and outlines the future focus of monitoring reviews (section 3).
    Tags
    Monitoring, Independent trustee, Roles, Reports and Papers, Business, Supervisor
    Type
    Page, Report

  6. 15 December 2022

    ASX 24 review report

    Australian Securities Exchange Limited (ASX 24) is licensed to operate the ASX 24 derivatives market (derivatives market) in New Zealand. We are required to report at least once every two years on how well ASX 24 is meeting its licensed market operator obligations.
    Tags
    Roles, Reports and Papers, Business, Market operator, News & Insights
    Type
    Page, Report

  7. 31 March 2016

    Guide for peer-to-peer lending services on publishing default rate information

    Guide for peer-to-peer lending services on publishing default rate information guide contains information to help peer-to-peer licensees understand and meet the minimum licensing standard to publish default rate information.
    Tags
    Roles, Business, Peer-to-peer lending service providers
    Type
    Page, Guidance

  8. 1 May 2020

    FMA’s reviews of financial reporting

    FMA’s reviews of financial reporting is a statement outlining our approach to financial reporting reviews, highlighting selected areas of interest for our 2019/20 reviews. It will be useful for anyone involved in preparing or approving financial reporting for FMC reporting entities. Read more.
    Tags
    Governance, Directors, Roles, Client money or property services provider, Crowdfunding providers, Cryptocurrencies, Derivative Issuer, Discretionary investment management scheme (DIMS), Offer disclosure for equity and debt offers, Financial Advice Provider, Business, FMA, Managed investment schemes, Peer-to-peer lending service providers, Nominated representatives
    Type
    Page, Financial reporting, Guidance

  9. 13 April 2023

    Fundrock NZ Limited

    Fundrock NZ Limited, FSP127464, is a licensed Managed Investment Scheme Manager.
    Tags
    Licensed entity, Roles, Reporting entities, Business, Managed investment schemes
    Type
    Page

  10. 2 December 2020

    AxiCorp Financial Services Pty Ltd

    AxiCorp Financial Services Pty Ltd, FSP518226, is a licensed derivatives issuer.
    Tags
    Derivative Issuer, Licensed entity, Roles, Reporting entities, Business
    Type
    Page

  11. 8 May 2023

    Covenant Trustee Services Limited

    Covenant Trustee Services Limited, FSP30521, is licensed by the FMA as Supervisor.
    Tags
    Roles, Licensed entity, Reporting entities, Business, Supervisor
    Type
    Page

  14. 9 May 2023

    Supervisors Licence Covenant Trustee Services Limited

    This is to certify that COVENANT TRUSTEE SERVICES LIMITED FSP30521, is licensed under section 16(1) of the Financial Markets Supervisors Act 2011 to act as a supervisor in respect of debt securities; a supervisor in respect of registered schemes excluding KiwiSaver schemes, Superannuation schemes and Workplace Savings schemes and a statutory supervisor in respect of retirement villages.

    Tags
    Licence, Roles, Licensing & registration, Business, Supervisor
    Type
    PDF

  15. 26 April 2023

    Warning: Imposter website DCMAtrading.com

    This website purports to offer trading in foreign exchange, cryptocurrency, and CFDs, but it is not licensed for these activities in New Zealand
    Tags
    Imposter website, Scams
    Type
    Page