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  1. 28 February 2024

    Velocity Financial Limited

    Velocity Financial Limited, FSP95466 is an AML reporting entity.
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  5. 31 August 2022

    BWT Financial Limited

    BWT Financial Limited is an AML reporting entity.
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  6. 21 July 2023

    Licensing guide -Financial Institutions

    This guide is for businesses who are intending to apply for a financial institution licence.
    Tags
    Banking, Licensing & registration, Insurance Providers, Financial Institutions, Business
    Type
    PDF

  7. 10 May 2023

    Aurora Financial Group Limited

    Details about the FMA case against Aurora Financial Group Limited can be found on this page.
    Tags
    Cases, Censure, Powers, Enforcement
    Type
    Page

  9. 26 June 2023

    CoFI intermediated distribution

    This guidance outlines our expectations when financial institutions are distributing products and services through intermediated channels under the Conduct of Financial Institutions (CoFI) regime.
    Tags
    Banking, Insurance Providers, Conduct of Financial Institutions Bill (CoFI), Financial Institutions, Roles, Conduct, Business, News & Insights, Supervisor
    Type
    Page, Guidance

  10. 22 December 2022

    The Property Crowd Limited

    The Property Crowd Limited, FSP440926, is a licensed Crowdfunding service provider. The license is suspended on 22 December 2022
    Tags
    Crowdfunding providers, Roles, Licensed entity, Reporting entities, Business
    Type
    Page

  11. 29 February 2012

    FMA warns of illegal offer by Makko Securities to advise on Facebook IPO

    The Financial Markets Authority is warning the public of an illegal offer by Makko Securities and its Senior Account Manager, Roy Lochen, to provide broking services in relation to the proposed Initial Public Offering of Facebook and other securities.
    Tags
    Media release, Formal warning, Powers, News & Insights, Enforcement
    Type
    Page

  12. 8 September 2023

    The People’s Reserve – Unregistered, offering digital currency

    We recommend caution when dealing with The People’s Reserve and related associates the people's choice , or any individuals, or entities promoting The Peoples Reserve digital currency (TPR) and related financial services.
    Tags
    Investor warning, Consumer
    Type
    Page

  13. 25 July 2019

    Financial Markets Conduct (Managed Funds – Loan Disclosure Requirements) Exemption Notice 2019

    A class exemption has been granted to provide managers of certain schemes that invest in secured loans with relief from the requirements to name borrowers in quarterly fund updates or on the register entry for the offer. Alternative information about the secured property must be provided instead, that will be more useful for investors. The exemptions come into force on 1 August 2019.
    Tags
    Exemptions, Secondary legislation, Business
    Type
    Page

  14. 21 May 2020

    Financial Markets Conduct (Canterbury Mortgage Trust Group Investment Fund) Exemption Notice 2020

    The Financial Markets Conduct (Canterbury Mortgage Trust Group Investment Fund) Exemption Notice 2020 exempts Canterbury Fund Managers Limited in respect of the Canterbury Mortgage Trust Group Investment Fund (Scheme) from requirements under the Financial Markets Conduct Act 2013 to prepare and submit audited financial statements in relation to the Scheme’s balance date of 31 March 2020. tion Notice 2020 grants an exemption in favour of small to medium-sized licensed providers of DIMS. It provides relief from certain financial reporting and audit obligations under the FMC Act.
    Tags
    Exemptions, Secondary legislation, Business
    Type
    Page

  15. 16 March 2015

    Proposed financial reporting exemptions for small and medium sized DIMS providers consultation paper

    The FMA is considering a class exemption for small and medium-sized licensed DIMS providers from certain financial reporting obligations. Our proposal is to put in place an exemption that will gradually introduce reporting and auditing requirements based on the size of the DIMS provider.
    Tags
    Discretionary investment management scheme (DIMS), Exemptions, Roles, Business
    Type
    PDF