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29 September 2021

merlingrouplimited.com

The FMA recommends exercising caution before dealing with www.merlingrouplimited.com (the website).
We are aware that the website is offering investment services/products using the company details, without permission, of an incorporated company in New Zealand, Merlin Group Limited. The website is not associated with nor authorised by the New Zealand company.

Tags

Imposter website, Suspected scam, Scams

Type

Page
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
18 November 2016

Financial Markets Conduct (Incidental Offers) Exemption Notice 2016

Every issuer (A), and every holder of financial products issued by A, is exempted from Parts 3 and 4 of the Act in respect of an offer of any financial products of which A is the issuer if certain conditions are met. Expired.

Tags

Exemptions, Secondary legislation, Business

Type

Page
8 February 2017

FMA lays charges under the Crimes Act

An individual registered financial adviser appeared in the Auckland District Court yesterday in relation to various charges laid by the FMA under the Crimes Act.

Tags

Media release, Cases, News & Insights, Enforcement

Type

Page
23 October 2019

Financial Markets Conduct (Masthead Joint Venture) Exemption Notice 2019

This notice, which comes into force on 22 October 2019 and is revoked on the close of 21 October 2024, exempts certain trustees of trusts that together either control, or have a potential future interest in, the Masthead Joint Venture from regulation 139 of the Financial Markets Conduct Regulations 2014 to the extent that the regulation requires event disclosures given by those trustees to have attached a full copy of the joint venture agreement that constitutes the Masthead Joint Venture.

Tags

Exemptions, Secondary legislation, Business

Type

Page
14 July 2021

jmitfs.com

We are concerned the operators of the website www.jmitfs.com may be operating a scam. The website falsely claims to be Jmit Financial Services Limited, an entity incorporated in New Zealand and registered as a Financial Service Provider. We understand the website is using the New Zealand companies details without permission.

Tags

Imposter website, Suspected scam, Consumer, Scams

Type

Page
10 November 2021

www.osakalenders.com

WARNING: Osaka Lenders claims to be the third project/loan financial institution registered in Tokyo, established in 2003, but there is no other web presence found apart from its website. Additionally, the persons shown on Osaka Lenders’ website are fictitious persons created using the images of some prominent Japanese businesspeople. Read the full warning.

Tags

Suspected scam, Consumer, Scams

Type

Page
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
25 July 2019

www.olympusmarkets.com and Next Trade Limited

Olympus Markets could be involved in a scam. Olympus Markets is not registered as a New Zealand Financial Service Provider or licensed to provide derivatives products to New Zealand retail investors.

Tags

Suspected scam, Scams

Type

Page
2 May 2011

Bernard Whimp

Shareholders in several listed companies have complained to the Securities Commission about offers made in March 2011 from limited partnerships associated with Mr Bernard Whimp. Read more.

Tags

Scams

Type

Page
28 April 2020

Exemptions grant temporary relief from some reporting deadlines

FMA has granted two class exemption notices to provide market participants with an additional two months to provide their audited financial statements and comply with certain other regulatory requirements. Due to the disruption caused by COVID-19, the FMA is taking appropriate steps to provide regulatory relief.

Tags

COVID-19, News & Insights

Type

Page, Financial reporting
24 April 2020

Conduct expectations in response to COVID-19

Conduct expectations in response to COVID-19. The FMA and other members of the Council of Financial Regulators (CoFR) are continuing to closely monitor the impact of COVID-19 on New Zealand’s financial system.

Tags

Client money or property services provider, COVID-19, Cryptocurrencies, Derivatives, Financial Adviser, Independent trustee, Market operator, Roles, Ways to invest, Investing, Business, Consumer, News & Insights

Type

Page
3 March 2015

FMA welcomes opportunity to review financial advice laws

FMA welcomes today’s announcement by the Minister of Commerce and Consumer Affairs, Paul Goldsmith, about the review of legislation governing financial advisers.

Tags

Financial Service providers Act 2008, Media release, Legislation, Business, News & Insights

Type

Page
13 July 2016

Changes recommended to the FAA and FSPR are good for consumers

The Financial Markets Authority welcomes the Minister of Commerce and Consumer Affairs, Paul Goldsmith’s recommendations on changes to two significant pieces of legislation for NZ’s financial markets.

Tags

Financial advice, Media release, Consumer, News & Insights

Type

Page
29 July 2019

Girard Montague

We recommend exercising caution before dealing with Girard Montague, Richard Sinclair, Richard Tan and the website https:ljwww.girard- montague.com as Girard Montague is not listed on the FSPR and is not an incorporated company in New Zealand.

Tags

Suspected scam, Scams

Type

Page