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  2. 28 February 2024

    RESEARCH IP PTY LTD

    RESEARCH IP PTY LTD is an AML/CFT reporting entity.

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  3. 5 April 2024

    Authorised body under a financial advice provider licence

    An authorised body is an entity (eg company or partnership) named on a Financial Advice Provider licence. A licensed FAP must agree to an authorised body operating under its licence. The authorised body must be named on the financial advice provider’s transitional licence application, and the licensed FAP will be required to provide information about the authorised body when it applies for its licence.
    Individuals cannot be authorised bodies under a FAP licence and individual financial advice provider licence holders cannot engage authorised bodies under their licences.
    Find out more about registration, costs, ongoing obligations, duties, standard consitions, general reporting conditions, code of professional conduct, competency safe harbour, and liability and enforcement on this page.
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    Compliance, New Financial Advice regime, Authorised body under a FAP, Obligations, Licensing & registration, Roles, Financial Services Legislation Amendment Act (FSLAA), Business
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  4. 13 May 2024

    Report a scam

    If you suspect you have been targeted by an investment or financial scam, report the scam to the FMA.
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    Suspected scam, Scams
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  5. 16 December 2021

    Investment warning concerning Maesara Investments Limited

    WARNING: We are concerned that Maesara Investments Limited is involved in a scam, they are not an incorporated entity in New Zealand and is not registered on the Financial Service Providers Register. An NZ resident who has invested through Maesara Investments Limited is no longer able to contact the entity by telephone and email.
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    Imposter website, Suspected scam, Scams
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  6. 27 May 2024

    Board and governance

    This webpage introduces the FMA Board.
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    FMA Board, FMA
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  8. 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.
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    Media release, Formal warning, Powers, News & Insights, Enforcement
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  9. 19 October 2021

    Rob Everett speaks at the FSC Conference 2021

    Transcript of speech by Rob Everett, Chief Executive, Financial Markets Authority, at the FSC Conference 2021.
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    Speeches and presentations , 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, Independent trustee, Conduct, Roles, Business, Interposed persons under new financial advice regime, Managed investment schemes, News & Insights, Peer-to-peer lending service providers, Nominated representatives
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  11. 15 November 2023

    Fake FMA licence certificates

    We have received a large number of reports about fake FMA licence certificates being used to try and convince people to invest money with phony investment brokers.
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    Suspected scam, Investor warning, Consumer, Scams
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  12. 16 June 2022

    Investor warning: Goldridge Investment Limited

    Goldridge Investment Limited and goldridgeinvestmentlimited.com (the website)are not registered to provide financial services in New Zealand.
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    Investor warning, Unregistered business, Consumer
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  14. 20 July 2021

    Offer disclosure for equity and debt offers

    Issuers are involved in first making a financial product available. The FMC Act has requirements for financial product offer information. See those requirements, financial reporting obligations, accountability framework for managed investment schemes and debt securities on this page.
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    Compliance, Offer disclosure for equity and debt offers, Obligations, FMC Act, Roles, Legislation, Business
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