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  1. 3 April 2017

    FMA confirms short-term derivatives to be licensed

    The Financial Markets Authority has today confirmed that businesses selling short-duration derivatives need to be licensed. The Financial Markets Conduct Act introduced licensing for derivatives issuers in December 2014.
    Tags
    Derivatives, Ways to invest, Investing, Media release, Consumer, News & Insights
    Type
    Page

  3. 18 June 2014

    FMA releases guide to help smaller financial adviser businesses with the licensing process for DIMS

    Following changes to the regulation of Discretionary Investment Management Services (DIMS) announced Monday 16 June, by Commerce Minister, Craig Foss, the Financial Markets Authority (FMA) has released a guide to help advisers and small businesses who want to apply for a licence to provide DIMS under the Financial Markets Conduct Act
    Tags
    Discretionary investment management scheme (DIMS), Media release, Roles, Business, News & Insights
    Type
    Page, Guidance

  5. 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

  9. 13 December 2021

    Eden REITs

    Eden REITs including: Eden Development No.1 LP, Eden Development No.2 LP, Eden Development No.2A LP, Eden GP Limited, Eden TWO GP Limited, Eden Development No.3 LP, and Eden Three GP LImited
    Tags
    AML/CFT, Roles, Business
    Type
    Page

  10. 18 September 2015

    Sentences delivered in OPI Pacific Finance case

    Two former directors of OPI Pacific Finance Limited, Mark Lawrence Lacy and Jason Robert Duncan Maywald, have been sentenced in the Auckland High Court. Read more.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  12. 3 April 2020

    Updated: FMA further extends deadline for financial reporting

    The Financial Markets Authority (FMA) is providing regulatory relief to market participants to give them an additional two months to provide their audited financial statements. Due to the disruption caused by COVID-19, the FMA is taking appropriate steps to support the industry. Firms that need to provide these financial statements include listed issuers on the NZX.
    Tags
    COVID-19, New Financial Advice regime, FMC Act, Directors, Legislation, Roles, Business, News & Insights
    Type
    Page, Financial reporting

  13. 22 April 2021

    Endeavour Premium Finance Limited

    Endeavour Premium Finance Limited FSP31587 is an AML/CFT reporting entity
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page