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Found 3787 results. Displaying page 230 of 253

26 July 2022

Ethical Investment Journey Research

This report contains findings from a qualitative study interviewing a range of New Zealanders about their experience with ethical* investments. It covers the underlying factors that drive people toward considering an ethical investment (KiwiSaver or managed fund) and their experiences of navigating the different providers and products on offer. It also provides detail on specific triggers and difficulties during people’s journey toward buying ethical investments. It covers the types of information people find most useful, challenges facing potential ethical investors, and factors providers should consider to improve people’s experience. Ethical Investment Journey Research - July 2022.

Tags

Reports and Papers, Ethical finance, Business, FMA, News & Insights

Type

PDF, Report, Research
29 June 2016

NZX Obligations Review 2016

Under the FMC Act, we are required to review at least annually how well a licensed market operator is meeting its obligations, and to publish a written report. Broadly, these relate to the areas of operation that are regulatory in nature. Publishing the report provides transparency into our oversight of NZX. This report was published in 2016.

Tags

Reports and Papers, Market operator, Roles, Monitoring, Business, News & Insights

Type

PDF
28 June 2021

NZX Market Operator Obligations Review 2021

Findings from the FMA's review of how well NZX is meeting its
licensed market operator obligations, for the period
1 January to 31 December 2020

Tags

Reports and Papers, Market operator, Roles, Business, News & Insights

Type

PDF
28 September 2017

Consultation paper: Short duration derivatives

Consultation paper: Short duration derivatives. The short-duration derivative issuers should be licensed. This decision is based on our view that the law requires businesses selling these products to have a licence. Read more.

Tags

Derivative Issuer, Consultations, Roles, Business

Type

Page
7 June 2018

Auditor regulation and oversight plan 2018-2021

FMA has an obligation to publish an auditor regulation and oversight plan by 30 June each year, for a three year period, setting out our intentions for the regulation and oversight of auditors under the Act. This plan will help licensed auditors, registered audit firms and accredited bodies to understand how FMA will approach auditor regulation. It may also be of interest to issuers, investors and their advisers.

Tags

Monitoring, Reports and Papers, Business, News & Insights

Type

PDF
28 June 2018

NZX Obligations Review 2018

Under the FMC Act, we are required to review at least annually how well a licensed market operator is meeting its obligations, and to publish a written report. Broadly, these relate to the areas of operation that are regulatory in nature. Publishing the report provides transparency into our oversight of NZX. This report was published in 2018.

Tags

Reports and Papers, Roles, Monitoring, Business, Market operator, News & Insights

Type

PDF
22 August 2013

Five Star Consumer Finance And Five Star Finance Group

FMA alleged that the directors (Marcus Macdonald, Nicholas Kirk, Anthony Bowden, Neill Williams) made untrue statements in the investment statements and registered prospectuses of Five Star Consumer Finance Limited and offered securities (Five Star Finance and Five Star Debenture Nominee) in contravention of the Securities Act and did so without having registered a prospectus or provided investors with an investment statement. Read more.

Tags

Misleading statement, Breach, Enforcement

Type

Page
19 May 2011

Bernard Whimp and associated limited partnerships

Mr Whimp, and six of the Limited Partnerships made offers to purchase shares in a number of public companies in the form of “Deferred Payment” Offers which were said to be misleading and deceptive, in breach of s 13 of the Securities Markets Act 1988. Read more.

Tags

Enforcement

Type

Page
17 January 2018

Trustees Executors Limited

Trustees Executors Limited, FSP37383, is licensed by the FMA as Supervisor.

Tags

Roles, Licensed entity, Reporting entities, Business, Supervisor

Type

Page
17 January 2023

Public Trust

Published Trust, FSP24561, is licensed by the FMA as Supervisor.

Tags

Roles, Licensed entity, Reporting entities, Business, Supervisor

Type

Page
21 March 2018

Mahi-FX

Mahi-FX is not a New Zealand registered company and are not associated with, nor an authorised representative of, MahiFX Limited.

Tags

Investor warning, Unregistered business, Consumer

Type

Page
15 May 2018

Rostones

Rostones is not a New Zealand registered company and is not associated with, nor an authorised representative of, Rostones Group Limited.

Tags

Unregistered business, Investor warning, Consumer, Scams

Type

Page
15 October 2019

Safumax Group Limited

The FMA is concerned that Safumax Group Limited (SGL) is operating from a false address, and www.safumax.com contains misleading information that SGL is a licensed entity and regulated in New Zealand, when it is not the case.

Tags

Unregistered business, Investor warning, Consumer, Scams

Type

Page
12 November 2019

GC Group Limited

The FMA is concerned GCG’s website contains misleading statements that have the potential to mislead investors on the extent to which GCG is a regulated or licensed entity in New Zealand and in overseas jurisdictions.

Tags

Unregistered business, Investor warning, Consumer, Scams

Type

Page
14 March 2023

Consultation on proposed exemptions for foreign listed issuers

Consultation document from the FMA iseeking feedback on the need for, and the content of, proposed exemptions for foreign exempt issuers from climate reporting duties.

Tags

Consultations, Climate related disclosure, Business

Type

PDF