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  1. 15 April 2024

    Morrison & Co DBG

    Morrison & Co DBG including: Morrison & Co Employee Co-Invest (PIP2) Limited, Morrison & Co Employee Co-Invest (PIP3) Limited, Morrison Investment Management Limited, Morrison Infrastructure Management Limited, Morrison International Limited, Morrison & Co PIP Limited, Morrison & Co SPV Management Limited, Morrison & Co Property Investment Limited.
    Tags
    AML/CFT, Roles, Reporting entities, Business, Designated Business Group (DBG)
    Type
    Page

  2. 15 April 2024

    NZ Funds DBG

    NZ Funds DBG including: New Zealand Administration Services Limited, New Zealand Funds Management Limited, New Zealand Funds Superannuation Limited
    Tags
    AML/CFT, Roles, Reporting entities, Business, Designated Business Group (DBG)
    Type
    Page

  3. 1 July 2019

    Fisher Funds Wealth Investments Limited Partnership

    Fisher Funds Wealth Investments Limited Partnership (previously known as Kiwi Wealth Investments Limited Partnership or Gareth Morgan Investments Limited Partnership) is an AML reporting entity.
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  4. 30 June 2022

    Fisher Funds Wealth Investments Limited Partnership - MIS

    Fisher Funds Wealth Investments Limited Partnership (previously known as Kiwi Wealth Investments Limited Partnership or Gareth Morgan Investments Limited Partnership), FSP46781, is a licensed Managed Investment Scheme Manager.
    Tags
    Licensed entity, Roles, Reporting entities, Business, Managed investment schemes
    Type
    Page

  5. 3 February 2023

    BNP Paribas NZ DBG

    BNP Paribas NZ DBG including: BNP Paribas Fund Services Australasia Pty Ltd (FSP42061), BNP Paribas Nominees (NZ) Limited (FSP42162), BNP Paribas Securities Services.
    Tags
    AML/CFT, Roles, Reporting entities, Business, Designated Business Group (DBG)
    Type
    Page

  6. 13 December 2021

    Perpetual Guardian DBG

    Perpetual Guardian DBG including: NZ International Trustee Company Limited, Perpetual Trust Limited, Perpetual Guardian Investments Limited.
    Tags
    AML/CFT, Roles, Reporting entities, Business, Designated Business Group (DBG)
    Type
    Page

  7. 16 April 2024

    Implemented Investment Solutions DBG

    Implemented Investment Solutions DBG includes Fundrock NZ Limited and Investnow Saving and Investment Service Limited.
    Tags
    Reporting entities, AML/CFT, Roles, Business, Designated Business Group (DBG)
    Type
    Page

  8. 16 April 2024

    Black Bull Markets DBG

    Black Bull Markets DBG includes Black Bull Group Limited, Black Bull Trade Limited.
    Tags
    Reporting entities, AML/CFT, Roles, Business, Designated Business Group (DBG)
    Type
    Page

  9. 5 April 2024

    Authorised body under a financial advice provider licence

    An authorised body is an entity (eg company or partnership) named on a Financial Advice Provider licence. A licensed FAP must agree to an authorised body operating under its licence. The authorised body must be named on the financial advice provider’s transitional licence application, and the licensed FAP will be required to provide information about the authorised body when it applies for its licence.
    Individuals cannot be authorised bodies under a FAP licence and individual financial advice provider licence holders cannot engage authorised bodies under their licences.
    Find out more about registration, costs, ongoing obligations, duties, standard consitions, general reporting conditions, code of professional conduct, competency safe harbour, and liability and enforcement on this page.
    Tags
    Compliance, New Financial Advice regime, Authorised body under a FAP, Obligations, Licensing & registration, Roles, Financial Services Legislation Amendment Act (FSLAA), Business
    Type
    Page

  10. 8 April 2024

    Standard Conditions for derivatives issuers

    If the FMA grants you a derivatives issuer licence under section 396 of the FMC Act, the licence will be subject to conditions detailed in this document.
    Tags
    Derivative Issuer, Standard conditions, Roles, Licensing & registration, Business
    Type
    PDF

  11. 17 April 2024

    FMA cancels crowdfunding services licence for Equitise

    The FMA has cancelled the crowdfunding services licence of Equitise Pty Ltd (Equitise). The cancellation took effect on 3 April 2024.
    Tags
    Media release, Enforceable undertaking, Powers, Crowdfunding Service Provider, Crowdfunding providers, Roles, Business, News & Insights, Enforcement
    Type
    Page

  12. 8 April 2024

    Online Services

    Online Services is a secure portal hosted by the FMA for submitting licence applications and, regulatory and scheme information.
    Tags
    Licensing & registration, Regulatory returns, Business
    Type
    Page

  14. 17 April 2024

    AxonExchange – Imposter website, suspected scam

    The FMA recommends caution when dealing with AxonExchange and its associated websites. We are aware of an investor who has invested with AxonExchange and is now unable to withdraw funds.
    Tags
    Imposter website, Suspected scam, Investor warning, Consumer, Scams
    Type
    Page

  15. 8 September 2023

    Consultation: Climate-related disclosures timing challenge

    The FMA is consulting on a proposed exemption to exempt certain climate reporting entities from the requirement to include a link to their climate statements in their annual report for a 2-year period. Submissions close 7 August 2023.
    Tags
    Consultations, Roles, Authorised body under a FAP, Ethical finance, Climate related disclosure, Financial Institutions, Managed Investment Schemes, Climate Reporting Entities, Business, Managed investment schemes
    Type
    Page