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Found 632 results. Displaying page 7 of 43

  1. 1 October 2014

    Reporting duties under Part 4 of the FMC Act

    Reporting duties under Part 4 of the FMC Act information sheet outlines the new reporting duties under the Financial Markets Conduct Act 2013 (FMC Act) for debt issuers, managers of managed investment schemes, supervisors, auditors, investment managers, administration managers, custodians and actuaries.
    Tags
    Client money or property services provider, Offer disclosure for equity and debt offers, Roles, Business, Managed investment schemes, Supervisor
    Type
    Page, Financial reporting, Guidance

  2. 1 April 2015

    DIMS limit breaks under the FMC Act information sheet

    DIMS limit breaks under the FMC Act information sheet outlines the obligations of Discretionary Investment Management Services (DIMS) providers under the Financial Markets Conduct Act 2013 (FMC Act) relating to investment authority limits and reporting breaches of those limits.
    Tags
    Compliance, Discretionary investment management scheme (DIMS), Roles, Business
    Type
    Page, Guidance

  3. 20 February 2024

    CAMCO PACIFIC LIMITED

    CAMCO PACIFIC LIMITED is an AML/CFT reporting entity.

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    Type
    Page

  4. 27 February 2024

    James Naohiro MCEWEN

    James Naohiro MCEWEN is an AML/CFT reporting entity.

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    Page

  7. 28 July 2016

    FMA releases conduct guide for feedback

    FMA has released a guide to how it will examine whether financial services providers are demonstrating good conduct under the Financial Markets Conduct Act (FMC Act).
    Tags
    Conduct, Media release, Business, News & Insights
    Type
    Page

  8. 31 May 2024

    FMA cancels Stockfox Limited’s FAP licence

    The FMA has cancelled Stockfox Limited’s (Stockfox) Financial Advice Provider (FAP) licence with effect from 30 May 2024.
    Tags
    Media release, Authorised body under a FAP, Financial Advice Provider, Financial Adviser, Enforceable undertaking, Licence cancellation, Roles, Powers, Business, News & Insights, Enforcement, Nominated representatives
    Type
    Page

  9. 22 March 2024

    Apex Analytics – Unregistered

    FMA is concerned that Apex Analytics is offering New Zealanders financial services and financial products including convertible notes while not registered. Apex Analytics is not on the Financial Service Provider Register.
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    Type
    Page

  11. 11 August 2016

    Baumann Group

    Baumann Group is not registered to provide financial services in New Zealand.
    Tags
    Investor warning, Unregistered business, Consumer
    Type
    Page

  12. 16 February 2021

    FourtryFinancial

    FourtryFinancial is not a registered financial service provider in New Zealand and is therefore not authorised to offer financial services or products to New Zealand residents.
    Tags
    Investor warning, Unregistered business, Consumer
    Type
    Page

  13. 17 June 2019

    International Securities Regulatory Authority

    We are concerned that the International Securities Regulatory Authority is claiming to be a securities regulator and endorsing products and services from suspected scams. Read more.
    Tags
    Fake regulator, Suspected scam, Scams
    Type
    Page

  15. 28 March 2019

    FMA confirms new appointments to executive committee

    The Financial Markets Authority (FMA) today confirmed two new appointments to its Executive Committee. Read more.
    Tags
    Governance, Media release, FMA executive team, FMA, News & Insights
    Type
    Page