Back

Search results

Found 6068 results. Displaying page 364 of 405

  1. 1 May 2022

    One Management

    FMA made a stop order against The One Management GP Limited regarding an offer in relation to The One Property LP
    Tags
    Stop Order, Powers, Enforcement
    Type
    Page

  2. 1 March 2022

    Simplicity

    FMA directed Simplicity NZ Limited to remove advertising materials that breached fair dealing provisions, and ensure future advertising is compliant.
    Tags
    Misleading statement, Enforcement
    Type
    Page

  3. 13 June 2023

    LEGASEED NZ LIMITED

    LEGASEED NZ LIMITED is an AML reporting entity.
    Tags
    Type
    Page

  4. 5 November 2020

    Carrera Corporation Ltd

    Carrera Corporation Ltd (carreracorporationltd.com) may be operating a scam. It claims to offer investment plans with unrealistically high returns.
    Tags
    Imposter website, Suspected scam, Scams
    Type
    Page

  5. 24 November 2020

    bslcorporationltd.co

    We are concerned that the website is operating a scam and we recommend exercising caution when dealing with this entity.
    Tags
    Imposter website, Suspected scam, Scams
    Type
    Page

  6. 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

  8. 24 March 2020

    FMA COVID-19 Update 24 March 2020

    Update 24 March 2020: Financial advice is not covered by the definition from the Government of workplaces/offices that need to remain open but it clearly remains an important service.
    Tags
    COVID-19, New Financial Advice regime, Financial Adviser, Roles, Business, News & Insights
    Type
    Page

  9. 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

  10. 5 November 2020

    FAP standard conditions full licence RIS

    This Regulatory Impact Statement (RIS) discusses standard conditions for financial advice provider (FAP) licences, to be
    imposed by the FMA.
    Tags
    RIS, Financial Advice Provider, Roles, Standard conditions, Licensing & registration, Business
    Type
    PDF

  11. 19 December 2014

    Consultation Personalised DIMS response to submissions

    The table in this paper summarises the submissions made on our Consultation paper: Personalised DIMS under the Financial Advisers Act 2008 (“the Act”)
    released on 19 November 2014.
    Five written submissions were received. The FMA has considered all submissions and our response to the main issues is set out in the table below.
    Tags
    Discretionary investment management scheme (DIMS), Consultations, Roles, Business
    Type
    PDF

  13. 3 September 2015

    Consultation paper auditor regulation act amendmment

    This consultation is for licensed auditors and registered audit
    firms. It aims to seek views from licensed auditors and registered audit firms on the proposed changes to the Auditor Regulation Act (Prescribed Minimum Standards and
    Conditions for Licensed Auditors and Registered Firms) Notice 2012.
    Tags
    Auditors, Consultations, Roles, Business
    Type
    PDF

  14. 19 December 2014

    Response to submissions Consultation paper Personalised DIMS.1

    The table in this paper summarises the submissions made on our Consultation paper: Personalised DIMS under the Financial Advisers Act 2008 (“the Act”)
    released on 19 November 2014.
    Five written submissions were received. The FMA has considered all submissions and our response to the main issues is set out in the table below.
    Tags
    Discretionary investment management scheme (DIMS), Consultations, Roles, Business
    Type
    PDF

  15. 21 June 2017

    Consultation paper Robo advice exemption

    This consultation is for financial advisers, financial product providers, consumers and other interested parties. It seeks feedback on the exemption proposal to facilitate the provision
    of personalised robo-advice.
    Tags
    Authorised body under a FAP, Financial Advice Provider, Financial Adviser, Consultations, Roles, Business, Interposed persons under new financial advice regime
    Type
    PDF