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  1. 9 March 2015

    FMA spells out practical approach to supervision responsibilities under new law

    FMA has spelt out its practical approach to its supervision responsibilities, as the financial services and markets regulator increases the emphasis on supervision under the newly-effective FMC Act 2013.
    Tags
    Governance, FMC Act, Media release, Legislation, Business, FMA, News & Insights
    Type
    Page

  3. 30 June 2017

    Penalty judgment in the case of FMA v Warminger

    The High Court imposed a total penalty of $400,000 on Mark Warminger for two contraventions of the Securities Markets Act 1978. Read more.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  4. 31 October 2015

    Balmer, Jeffs & Company Limited

    Balmer, Jeffs & Company Limited, FSP14261, is licensed to provide Discretionary Investment Management Services (DIMS).
    Tags
    Discretionary investment management scheme (DIMS), Licensed entity, Roles, Business
    Type
    Page

  5. 30 September 2015

    MILESTONE FINANCIAL SERVICES (SOUTHERN) LIMITED

    Milestone Financial Planning (Canterbury) 2016, FSP35702, is licensed to provide Discretionary Investment Management Services (DIMS).
    Tags
    Discretionary investment management scheme (DIMS), Licensed entity, Roles, Business
    Type
    Page

  6. 30 November 2016

    Britannia Financial Services Limited

    Britannia Financial Services Limited, FSP10221, is a licensed Managed Investment Scheme Manager.
    Tags
    Managed investment schemes, Licensed entity, Roles, Business
    Type
    Page

  7. 30 November 2021

    International regulator warning: www.skywinprofit.com

    WARNING: Hong Kong Securities and Futures Commission (HKSFC) published a warning about the skywinprofit website on 16 Jun 2021 for falsely claiming to be licensed by the HKSFC and purporting to be associated HKSFC licensed entities.
    Tags
    International regulator alerts, Suspected scam, Consumer, Scams
    Type
    Page

  8. 12 May 2022

    Eddystone Nominees NZ Limited

    Eddystone Nominees NZ Limited - FSP1002975 is an AML reporting entity
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  9. 29 June 2017

    Annual review of NZX published

    Annual review 2017 of whether NZX met its statutory obligations as a licensed market operator.
    Tags
    Governance, Market operator, Roles, Media release, Business, FMA, News & Insights
    Type
    Page

  10. 8 May 2015

    Booster Investment Management Limited

    Booster Investment Management Limited, FSP28142, is a licensed Managed Investment Scheme Manager.
    Tags
    Managed investment schemes, Licensed entity, Roles, Business
    Type
    Page

  12. 31 August 2022

    BeGroup Investments GP Limited

    BeGroup Investments Limited FSP1001524 is an AML reporting entity
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  14. 6 March 2014

    Contributory mortgage broker pleads guilty

    Prudential Mortgage Limited, a contributory mortgage broking firm, has been convicted and fined $2,000 for failing to deliver its annual report to the Registrar of Companies by 30 June 2013. Prudential pleaded guilty to the charge laid by the FMA. Read more.
    Tags
    Media release, News & Insights, Enforcement
    Type
    Page, Financial reporting

  15. 15 November 2012

    Release of PwC report into Ross Asset Management

    The Receivers and Managers' focus over the first five days of their appointment has been to identify and secure investment assets. After searching the custody accounts identified by Mr Ross and through wider searches in international investment markets, they have so far located investments of only $10.2 million. Read more.
    Tags
    Media release, News & Insights, Enforcement
    Type
    Page