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  2. 20 June 2023

    Consultation paper Proposed exemptions for CREs in liquidation receivership or voluntary administration

    Consultation paper to provide a class exemption to provide relief from climate reporting duties for CREs that are in liquidation, receivership, or voluntary administration.
    Tags
    Authorised body under a FAP, Banking, Consultations, Ethical finance, Insurance Providers, Climate related disclosure, Financial Institutions, Roles, Business, Managed investment schemes, Supervisor
    Type
    PDF

  4. 26 June 2007

    Fisher & Paykel Finance Limited (2)

    Fisher & Paykel Finance Limited (2) is a KiwiSaver exempt employer 26 June 2007
    Tags
    KiwiSaver Exempt Employer, Business
    Type
    Page

  5. 1 January 2011

    Options Global Ltd

    Watford, Dunning & Partners Ltd (Watford Dunning) and Options Global are not registered New Zealand Companies and are not registered to provide financial services in New Zealand.
    Tags
    Investor warning, Consumer
    Type
    Page

  6. 1 January 2011

    Watford, Dunning & Partners Ltd

    Watford Dunning and Options Global are not registered New Zealand Companies and are not registered to provide financial services in New Zealand.
    Tags
    Investor warning, Consumer
    Type
    Page

  7. 1 March 2018

    Kapuni Ventures

    Unregistered business: Kapuni Ventures is not a registered New Zealand Company and is not registered to provide financial services in New Zealand.
    Tags
    Investor warning, Consumer
    Type
    Page

  8. 1 March 2018

    Financial Investments and Conduct Commission

    Kapuni Ventures is not a registered New Zealand Company and is not registered to provide financial services in New Zealand.
    Tags
    Fake regulator, Scams
    Type
    Page

  9. 15 May 2023

    Citi Prospectus Scams

    FMA are concerned that a scam operation is targeting New Zealand residents and offering investment in term deposits in the name of Citi N.A.
    Tags
    Suspected scam, Scams
    Type
    Page

  10. 3 June 2016

    Investigation into Morgan Cooper Limited

    We are investigating a complaint received in relation to Morgan Cooper Limited (MCL) and a Mr Rodney McCall (aka Rodney Crichton) for potential contraventions of financial markets legislation.
    Tags
    Scams
    Type
    Page

  12. 13 August 2021

    Standard conditions overseas audit firms

    This document serves as a guide to the standard conditions attached to licences of overseas auditors operating in New Zealand.
    Tags
    Auditors, Standard conditions, Roles, Licensing & registration, Business
    Type
    PDF

  14. 12 August 2022

    Consultation Proposed Standard conditions FAP full licensing

    Consultation: Proposed standard conditions for financial advice provider full licences and classes of financial advice service.
    Tags
    Financial Advice Provider, Consultations, Roles, Standard conditions, Licensing & registration, Business
    Type
    PDF

  15. 17 November 2015

    Consultation proposed variations to standard conditions of market services licences

    It aims to seek feedback from FMC Act market service
    licensees on a proposal requiring the licensees’ governing
    bodies to declare, annually, they have complied with
    conditions for their licence. It explains: proposed changes to standard conditions for FMC Act licences.
    Tags
    Consultations, Standard conditions, Licensing & registration, Business
    Type
    PDF