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Found 1032 results. Displaying page 31 of 69

  1. 18 October 2019

    Circle Markets Limited

    FMA has issued a formal warning to a non-licensed derivatives issuer and forex provider, Circle Markets Limited, under the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (AML/CFT).
    Tags
    AML/CFT, Derivative Issuer, Roles, Business, Enforcement
    Type
    Page

  2. 1 September 2012

    Pre-prospectus publicity - some practical guidance for issuers and their advisers

    This guidance note is intended for issuers of securities, their directors and advisers. It sets out the Financial Markets Authority’s (FMA) view on the boundaries of pre-regulated offer publicity/advertising (also commonly referred to as ‘pre-prospectus publicity’), as required by the Securities Act 1978 (Act) and FMA’s policy on the scope of pre-prospectus publicity it will support by exemption.
    Tags
    Derivative Issuer, Offer disclosure for equity and debt offers, Roles, Business
    Type
    PDF, Guidance

  3. 23 April 2024

    Supervisors

    Supervisors are appointed to look after investors' interests for some types of financial products and the interests of residents of retirement villages. Supervisors covered by the Financial Markets Supervisors Act 2011 (the FMS Act) are those who supervise debt securities; Registered schemes, including KiwiSaver schemes, specified managed funds and superannuation schemes, and retirement villages.View more about licensing and registration and the obligations of Supervisors in New Zealand on this page.
    Tags
    Compliance, Obligations, Licensing & registration, Roles, Business, Managed investment schemes, Supervisor
    Type
    Page

  4. 16 November 2021

    Saga Trade

    WARNING: We are concerned that Saga Trade may be operating a scam. We have received reports of investors being unable to withdraw their investments. Saga Trade is not a registered financial service provider in New Zealand, nor licensed in New Zealand to offer trading in derivatives, including CFDs.
    Tags
    Investor warning, Unregistered business, Consumer
    Type
    Page

  5. 8 November 2021

    www.invest-az.com

    WARNING: www.invest-az.com is not a registered financial service provider in New Zealand, nor licensed in New Zealand to offer trading in derivatives, including futures, options and CFDs. We recommend caution when dealing with this website.
    Tags
    Investor warning, Unregistered business, Consumer
    Type
    Page

  6. 7 December 2021

    AML/CFT risk ratings confirmed for sectors under FMA supervision

    A new report by the Financial Markets Authority (FMA) - Te Mana Tātai Hokohoko - has found that derivatives issuers (DI’s) and cryptocurrency service providers are in the high risk category for meeting anti-money laundering and counter-terrorism financing obligations.
    Tags
    AML/CFT, Roles, Reporting entities, Cryptocurrencies, Media release, Business, News & Insights
    Type
    Page

  7. 9 December 2021

    AxiCorp licence suspension lifted

    The Financial Markets Authority (FMA) - Te Mana Tātai Hokohoko has lifted the suspension on the derivatives issuer licence of AxiCorp Financial Services Pty Limited (trading as AxiTrader), effective as of 2 December 2021.
    Tags
    Derivative Issuer, Enforceable action, Roles, Media release, Business, News & Insights, Enforcement
    Type
    Page

  8. 12 June 2023

    Market Radar – Unreasonably withholds clients’ funds

    The entity offers trading in cryptocurrency, forex and CFDs via their website. However, Market Radar is not a registered entity, nor a registered financial service provider in New Zealand. As such, they are not registered to provide financial products or services to New Zealand residents, nor do they hold a Derivatives Issuer Licence.
    Tags
    Suspected scam, Investor warning, Consumer, Scams
    Type
    Page

  9. 18 October 2019

    FMA issues AML/CFT warning to Circle Markets Limited

    The Financial Markets Authority (FMA) has issued a formal warning to a non-licensed derivatives issuer and forex provider, Circle Markets Limited, under the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (AML/CFT).
    Tags
    AML/CFT, Roles, Media release, Business, News & Insights
    Type
    Page

  10. 21 June 2018

    Everest International Group Limited

    The offer of derivatives has not been undertaken by Everest or its director nor do they operate www.everestinter.com website. It appears that an unidentified third party is involved. New Zealand residents should exercise caution before dealing with the website.
    Tags
    Suspected scam, Scams
    Type
    Page

  11. 12 July 2023

    Consultation: Proposed standard condition on business continuity and technology systems

    The FMA has issued a Regularly Impact Statement (RIS) and summary of responses following consultation on a proposed new business continuity and technology systems standard condition for managers of registered schemes (but not restricted schemes), DIMS providers, derivatives issuers, peer-to-peer lending providers and crowdfunding service providers.
    Tags
    Consultations, Crowdfunding providers, Derivative Issuer, Discretionary Investment Management Services (DIMS), Roles, Business, Managed investment schemes, Peer-to-peer lending service providers
    Type
    Page

  12. 9 May 2017

    IMF 2016 review of NZ

    The FSAP is a comprehensive assessment of the country’s financial sector and was coordinated by the Reserve Bank of
    New Zealand (RBNZ) on behalf of the members of New Zealand’s Council of Financial Regulators, which includes the FMA, the Treasury and MBIE.
    New Zealand’s prudential and securities regulation was tested against international principles and practices.
    Tags
    Reports and Papers, Regulation, Business, News & Insights
    Type
    PDF

  13. 10 February 2016

    Regulatory impact statement - Investor warning and acknowledgement exemptions for the $750,000 minimum investment wholesale investor exclusion

    This regulatory impact statement analyses options considered in course of policy work leading to a final decision to exempt offerors of certain debt securities relying on the $750,000 minimum investment wholesale investor exclusion, on conditions, from having to include investor warnings on offer documents and obtain an investor acknowledgement.
    Tags
    RIS, Business
    Type
    PDF

  14. 25 July 2017

    Offering financial products in New Zealand and Australia under mutual recognition (MRSO) regulatory guide

    This is a guide for New Zealand and Australian issuers offering financial products or interests in managed or collective investment schemes in both countries.
    It explains what issuers have to do under the trans-Tasman mutual recognition scheme for offers of financial products.
    This is a joint guide published by the Australian Securities and Investments Commission.
    Tags
    Financial Adviser, Roles, Derivative Issuer, Business
    Type
    PDF, Guidance

  15. 17 March 2011

    Commission Warns About More Unsolicited Offers

    The Securities Commission is alerting investors to be wary of further unsolicited offers from NZ Investment Securities LP for Vector Limited shares and Carlyle Securities LP for Contact Energy shares.
    Tags
    Scams
    Type
    Page