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  1. 17 December 2015

    Consultation paper: Forestry scheme issues and exemptions proposals

    Consultation paper: Forestry scheme issues and exemptions proposals. We are considering possible exemptions to address some issues faced by forestry schemes in complying with the Financial Markets Conduct Act 2013 (FMC Act).
    Tags
    Consultations, Roles, Business, FMA, Managed investment schemes
    Type
    Page

  2. 15 May 2017

    Consultation paper: Class designation of shares to managed investment products in an MIS

    Consultation paper: Class designation of shares to managed investment products in an MIS. This consultation paper considers when shares in investment companies may be designated as managed investment products (MIPs). Being MIPs subject these investment companies to the licensing, disclosure and governance requirements of managed investment schemes.
    Tags
    Investing, Consultations, Roles, Business, Consumer, Managed investment schemes
    Type
    Page

  3. 31 May 2023

    Entity demands tax payment that does not exist

    We are aware that Ariseinvslimited.com requires its clients to pay a type of investment tax which does not exist in New Zealand.
    Tags
    Suspected scam, Investor warning, Consumer, Scams
    Type
    Page

  4. 17 November 2021

    New self-assessment tools aim to boost success of financial advice providers

    The Financial Markets Authority (FMA) - Te Mana Tātai Hokohoko has released three new self-assessment tools to help financial advice providers (FAPs) prepare for full licensing.
    Tags
    Financial Advice Provider, Roles, Media release, Financial Services Legislation Amendment Act (FSLAA), Business, News & Insights
    Type
    Page

  5. 4 November 2021

    FMA speaks to MinterEllisonRuddWatts clients

    The FMA acting General Counsel, Karen Chang's speech to MinterEllisonRuddWatts clients on Thursday 4 November 2021.
    Tags
    Speeches and presentations , News & Insights, Enforcement
    Type
    Page

  6. 20 February 2023

    The FMA opens consultation on draft guidance for the intermediated distribution of financial products

    FMA is seeking consultation feedback on proposed guidance that covers arrangements where financial institutions distribute products and services through intermediaries.
    Tags
    Media release, Authorised body under a FAP, Banking, Consultations, Insurance Providers, Conduct of Financial Institutions Bill (CoFI), Roles, Managed Investment Schemes, Business, Managed investment schemes, News & Insights
    Type
    Page

  7. 4 August 2022

    FMA survey sheds light on New Zealanders’ experiences with financial sector and concepts of fair treatment

    Research from the FMA reveals insights into the mindset and motivations of consumers as they manage their money and deal with financial services firms.
    Tags
    Crowdfunding providers, Directors, Derivative Issuer, Banking, Media release, Insurance Providers, Roles, Discretionary investment management scheme (DIMS), Offer information, Conduct of Financial Institutions Bill (CoFI), Business, Managed investment schemes, News & Insights, Peer-to-peer lending service providers, Supervisor
    Type
    Page

  9. 7 June 2023

    TryTrade – Unregistered business, cold calling

    TryTrade is not registered on New Zealand’s Financial Services Provider Register to provide any financial products or services to New Zealand residents.
    Tags
    Investor warning, Consumer
    Type
    Page

  10. 26 May 2023

    Understanding the new climate-related disclosures regime

    FMA’s Jenika Phipps, Manager, Climate-related Disclosures, speech at a masterclass for business and finance leaders on its expectations for the climate-related disclosure regime in Auckland last week.
    Tags
    Article, Directors, Compliance, Climate related disclosure, Roles, Ethical finance, Auditors, Business, Managed investment schemes, News & Insights, Supervisor
    Type
    Page

  11. 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

  12. 19 February 2014

    Charges laid against contributory mortgage brokers

    The Financial Markets Authority (FMA) has charged two contributory mortgage brokers (Prudential Mortgage Limited and First Mortgage Investments Limited) with failing to deliver annual reports. Read more.
    Tags
    Media release, News & Insights
    Type
    Page

  13. 15 June 2023

    Uoncrypto – Unregistered, withdrawal fees demanded

    We recommend caution when dealing with Uoncrypto.com. Uoncrypto offers New Zealanders investment plans with unrealistically high returns on crypto products but is not registered on the financial service providers register (FSPR) to provide financial services in New Zealand.
    Tags
    Investor warning, Consumer
    Type
    Page

  14. 13 February 2023

    '5 mins with the FMA' podcast #5: Climate-related disclosures

    In this FMA podcast, we discuss New Zealand’s new climate-related disclosures regime with the manager of climate-related disclosures, Jenika Phipps.
    Tags
    Climate related disclosure, News, Ethical finance, Authorised body under a FAP, Financial Institutions, Roles, Business, Consumer, Managed investment schemes, News & Insights
    Type
    Page, Podcast

  15. 22 November 2022

    Consultation: Potential changes to the assurance requirement in the climate-related disclosures regime

    Consultation closed: The Ministry of Business, Innovation and Employment (MBIE) and the Ministry for the Environment (MfE) have opened consultation on potential changes to the assurance requirement in the climate-related disclosures regime.
    Tags
    Consultations, Climate related disclosure, Ethical finance, Authorised body under a FAP, Financial Institutions, Roles, Business, Managed investment schemes
    Type
    Page