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  3. 13 July 2015

    David John Hobbs and Jacqueline Hobbs

    The Financial Markets Authority (FMA) has accepted enforceable undertakings from David John Hobbs and Jacqueline Hobbs, limiting their activities in New Zealand’s financial markets. Read more.
    Tags
    Enforceable undertaking, Powers, Enforcement
    Type
    Page
    • Suspected scam

    1 May 2024

    Equity Budget – Suspected scam

    We recommend caution when dealing with Equity Budget. Equity Budget is making false claims about being an investment company and being a registered New Zealand company.
    Tags
    Suspected scam, Investor warning, Consumer, Scams
    Type
    Page
    • Imposter website

    23 May 2024

    Trustpodia – Imposter website

    Trustpodia is displaying a Certificate of Incorporation document on its website using the details of the registered New Zealand company Trust Company (C&S Trust) Limited, which has confirmed no association with Trustpodia.
    Tags
    Imposter website, Investor warning, Consumer, Scams
    Type
    Page
    • Imposter website

    18 June 2024

    Xcel Trader - Imposter website, withholding funds

    Xcel Trader is offering managed investment plans with unrealistic returns. It is not registered on the Financial Service Providers Register, which is required for entities offering financial products and services in New Zealand
    Tags
    Imposter website, Investor warning, Consumer, Scams
    Type
    Page

  9. 3 July 2024

    FMA censures deVere for breaching its licence obligations

    The FMA has censured Auckland-based financial services firm deVere New Zealand Limited (deVere) for failing to comply with obligations under its Financial Advice Provider (FAP) licence.
    Tags
    Media release, Authorised body under a FAP, Financial Advice Provider, Financial Adviser, Enforceable undertaking, Roles, Powers, Business, News & Insights, Enforcement
    Type
    Page

  10. 30 January 2024

    Recovery scam using name of UK Authority

    FMA warns New Zealand residents of scam by individuals claiming to represent the UK’s Financial Conduct Authority (FCA) and offering assistance to recover money lost in a previous scam.
    Tags
    Suspected scam, Scams
    Type
    Page

  11. 24 April 2020

    Conduct expectations in response to COVID-19

    Conduct expectations in response to COVID-19. The FMA and other members of the Council of Financial Regulators (CoFR) are continuing to closely monitor the impact of COVID-19 on New Zealand’s financial system.
    Tags
    Client money or property services provider, COVID-19, Cryptocurrencies, Derivatives, Financial Adviser, Independent trustee, Market operator, Roles, Ways to invest, Investing, Business, Consumer, News & Insights
    Type
    Page

  12. 17 December 2018

    Explaining fees and products key for consumers

    We have released survey into consumers’ experience of providers’ conduct. The survey found that New Zealanders are relatively satisfied with their financial providers, with consumers feeling they are treated fairly (70%), and with respect (72%).
    Tags
    Media release, Consumer, News & Insights
    Type
    Page

  13. 15 March 2023

    Business with financial advisers and nominated representatives

    Business or individual with financial advisers and nominated representatives is a way you can operate under the new financial advice regime. See the licensing requirements; costs; duties and obligations and next steps you should follow here.
    Tags
    New Financial Advice regime, Business
    Type
    Page

  14. 15 March 2023

    Business with nominated representatives

    Business or individual with nominated representatives is a way you can operate under the new financial advice regime. See the licensing requirements; costs; duties and obligations, and next steps you should follow here.
    Tags
    New Financial Advice regime, Business
    Type
    Page

  15. 15 March 2023

    Providing advice on behalf of someone else

    Providing advice on behalf of someone else is a way you can operate under the new financial advice regime. See the licensing requirements, costs and next steps here.
    Tags
    New Financial Advice regime, Business
    Type
    Page