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Found 3726 results. Displaying page 3 of 249

2 November 2023

MaxTradeCap - Suspected scam

MaxTradeCap has made false and unsubstantiated claims about being a registered and licensed financial entity in New Zealand.

Tags

Suspected scam, Investor warning, Consumer, Scams

Type

Page
20 October 2023

TSB – Fake term deposits

A scam offering fake term deposit investments using the name of TSB Bank is targeting New Zealanders.

Tags

Suspected scam, Investor warning, Consumer, Scams

Type

Page
10 September 2019

TradeLTD

The FMA recommends exercising caution before dealing with TradeLTD and the website
www.tracleltd .co m as TradeLTD is not listed on the FSPR and Is not an incorporated company in New Zealand. Individuals from TradeLTD have been contacting New Zealand residents with investment offers and withholding client funds. This has the hallmarks of a scam.

Tags

Suspected scam, Scams

Type

Page
9 March 2017

FMA files charges for insider trading

The FMA has filed charges in the Auckland District Court alleging breaches of the insider trading prohibitions contained in the Financial Markets Conduct Act 2013 (FMCA). The charges were filed in relation to trading in shares of Eroad (NZX:ERD). The individuals charged are a current and a former Eroad employee.

Tags

Media release, Cases, News & Insights, Enforcement

Type

Page
1 July 2021

FAP Licensing Application Guide Class 1 questions

FAP Licensing Application Guide Class 1 questions: This document contains the questions you will be asked when applying for a Class 1 Financial Advice Provider full licence. It should be read alongside our guide to full licensing.

Tags

Financial Advice Provider, Roles, Licence guide, Licensing & registration, Business

Type

PDF
1 September 2021

FAP Licensing Application Guide Class 2 questions

FAP Licensing Application Guide Class 2 questions: This document contains the questions you will be asked when applying for a Class 2 Financial Advice Provider full licence. It should be read alongside our guide to full licensing.

Tags

Financial Advice Provider, Licence guide, Roles, Licensing & registration, Business

Type

PDF
11 June 2018

Publishing default information for peer to peer lending services 2018

This guide contains information to help peer-to-peer licensees understand and meet the minimum licensing standard to publish default rate information. It sets out what ‘default’ means, when licensees must comply with the standard and guidelines on how to publish fair, clear and transparent information.

Tags

Compliance, Roles, Business, Peer-to-peer lending service providers

Type

PDF
11 June 2018

Publishing default information for peer to peer lending services 2018

This guide contains information to help peer-to-peer licensees understand and meet the minimum licensing standard to publish default rate information. It sets out what ‘default’ means, when licensees must comply with the standard and guidelines on how to publish fair, clear and transparent information.

Tags

Compliance, Roles, Business, Peer-to-peer lending service providers

Type

PDF
18 January 2023

FAP Licensing Application Guide Class 3 questions

FAP Licensing Application Guide Class 3 questions: This document contains the questions you will be asked when applying for a Class 3 Financial Advice Provider full licence. It should be read alongside our guide to full licensing.

Tags

Financial Advice Provider, Licence guide, Roles, Licensing & registration, Business

Type

PDF
15 September 2022

Investor alert: Octavus Trade Limited is not registered in New Zealand

WARNING: Investors should exercise caution when dealing with Octavus Trade Limited and octavus.trade (the website). Octavus Trade Limited is not a registered financial service provider in New Zealand. The website contains a forged New Zealand company Certificate of Incorporation and AMI Certificate of Insurance. It claims to offer investment returns which appear to be unrealistically high.

Tags

Suspected scam, Imposter website, Scams

Type

Page
2 August 2022

Warning: crypto trader, Global Ventures withholding funds

WARNING: FMA is concerned that Global Venture may be involved in a scam. We have received a complaint from a New Zealand resident who was contacted by Global Venture, through WhatsApp, to trade in cryptocurrencies through their trading platform. Global Venture is unreasonably withholding the complainant’s funds and is requesting further funds to enable a withdrawal.

Tags

Scams

Type

Page
29 July 2021

FMA releases cyber resilience info sheet for financial advice providers

The Financial Markets Authority (FMA) - Te Mana Tātai Hokohoko - has today published an information sheet containing principles and resources to help licensed financial advice providers develop their cyber resilience.

Tags

Financial Advice Provider, Roles, Media release, Business, News & Insights

Type

Page
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
9 February 2024

IPO Alerts – IPO website harvesting investor details

FMA believe IPO Alerts is a front, used to collect personal information from New Zealanders, which then enables overseas scammers to contact them with fictitious investments.

Tags

Suspected scam, Scams

Type

Page
9 February 2024

Early Offerings – IPO website harvesting investor details

FMA believes Early Offerings is a front, used to collect personal information from New Zealanders, which then enables overseas scammers to contact them with fictitious investments.

Tags

Suspected scam, Scams

Type

Page