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  1. 16 July 2007

    Wedderburn Scales Limited

    Wedderburn Scales Limited is a KiwiSaver exempt employer
    Tags
    KiwiSaver Exempt Employer, Business
    Type
    Page

  3. 4 December 2007

    Accident Compensation Corporation

    Accident Compensation Corporation is a KiwiSaver exempt employer
    Tags
    KiwiSaver Exempt Employer, Business
    Type
    Page

  7. 23 January 2015

    Notification of Warning: individual trader – market manipulation

    The Financial Markets Authority has issued a warning to an individual in relation to suspected market manipulation. Following an investigation by the FMA, it concluded that trading by the individual in question has likely breached the Securities Markets Act 1988. Read more.
    Tags
    Enforcement
    Type
    Page

  8. 26 May 2023

    Fake offer of Suncorp fixed term deposit

    WARNING: We are aware that a New Zealand resident is unable to recover the money paid for a fixed term deposit purporting to be offered by Suncorp New Zealand.
    Tags
    Suspected scam, Investor warning, Consumer, Scams
    Type
    Page

  10. 2 February 2017

    Consultation paper: A guide to the FMA's view of conduct

    Consultation paper: A guide to the FMA's view of conduct. We are seeking feedback on our conduct guide. The guide details how we will examine whether financial service providers are demonstrating good conduct under the Financial Markets Conduct Act (FMC Act).
    Tags
    Authorised body under a FAP, Client money or property services provider, Crowdfunding providers, Cryptocurrencies, Directors, Derivative Issuer, Discretionary investment management scheme (DIMS), Financial Advice Provider, Financial Adviser, Conduct, Consultations, Roles, Business, Interposed persons under new financial advice regime, FMA, Peer-to-peer lending service providers, Supervisor
    Type
    Page

  11. 31 May 2023

    Entity demands tax payment that does not exist

    We are aware that Ariseinvslimited.com requires its clients to pay a type of investment tax which does not exist in New Zealand.
    Tags
    Suspected scam, Investor warning, Consumer, Scams
    Type
    Page

  12. 1 December 2020

    Who will need a licence to provide financial advice

    The changes to how we regulate financial advice in New Zealand mean only those operating under licensed financial advice providers can give advice to retail clients. This fact sheet was drafted by the FMA ahead of the new financial advice regime to assist in helping navigate the new regime as a potential licence holder.
    Tags
    Financial Adviser, Roles, Financial Advice Provider, Licensing & registration, Financial Services Legislation Amendment Act (FSLAA), Business
    Type
    PDF, Information Sheet

  14. 1 December 2020

    Who will need a licence to provide financial advice?

    Only those operating under licensed financial advice providers can give advice to retail clients. This advice can be provided in various ways, including directly through online facilities such as digital advice, or through financial advisers or nominated representatives.
    Tags
    Financial Advice Provider, Licensing & registration, Roles, Financial Services Legislation Amendment Act (FSLAA), Business
    Type
    Page, Guidance

  15. 9 March 2023

    Explore your Financial Advice Provider (FAP) options

    The explore your options tool was created to help financial advice providers navigate the licensing options under the new financial advice regime. It covers some of the more straightforward ways you can operate.
    Tags
    Financial Advice Provider, Financial Adviser, New Financial Advice regime, Licensing & registration, Roles, Authorised body under a FAP, Financial Services Legislation Amendment Act (FSLAA), Business, Interposed persons under new financial advice regime, Nominated representatives
    Type
    Page