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  5. 12 September 2011

    FMA announces its Enforcement Policy

    The Financial Markets Authority (FMA) has published its Enforcement Policy to assist financial markets participants to have a clearer understanding of FMA's role, functions and priorities.
    Tags
    Media release, News & Insights, Enforcement
    Type
    Page

  10. 27 October 2015

    SPG and SPGI director Andrew Robinson sentenced

    Former company director (SPG and SPGI) and financial adviser, Andrew Hrothgar Robinson, has been sentenced in the Auckland High Court. Read more.
    Tags
    Cases, Media release, News & Insights, Enforcement
    Type
    Page

  12. 27 June 2019

    Financial Advisers (Personalised Digital Advice) Exemption Amendment Notice (No. 3) 2019

    The principal notice permits entities listed in Schedule 1 of the notice to provide personalised services to retail clients where those services are provided through a digital advice facility. This notice amends the principal notice to add Pinnacle Life Limited (Pinnacle) to that list of entities. Read more.
    Tags
    Exemptions, Secondary legislation, Business
    Type
    Page

  13. 13 November 2019

    Alderbrook Capital Management

    The FMA recommends exercising caution before dealing with Alderbrook Capital Management and the website www.alderbrookcapital.com. We believe Alderbrook Capital Management has the hallmarks of a scam.
    Tags
    Suspected scam, Scams
    Type
    Page

  14. 20 March 2020

    FMA COVID-19 Update 20 March 2020

    We are closely monitoring the coronavirus situation and thinking carefully about all necessary actions to ensure customers and investors are protected and markets continue to function well.
    Tags
    COVID-19, News & Insights
    Type
    Page

  15. 5 May 2022

    Wealthpoint Limited

    Wealthpoint are a licensed DIMS
    Tags
    Discretionary investment management scheme (DIMS), Licensed entity, Roles, Business
    Type
    Page