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Found 2185 results. Displaying page 41 of 146

9 September 2022

Imposter website: audaxtrading.net

The website audaxtrading.net is not a registered Financial Service Provider in New Zealand and is falsely purporting to be associated with New Zealand entity, Audax Trading Limited.

Tags

Imposter website, Suspected scam, Scams

Type

Page
23 September 2022

Imposter website: farm-crypto.com

Farm-crypto.com is not a registered Financial Service Provider in New Zealand and is falsely purporting to be associated with New Zealand entity, Pearlfisher Capital Limited.

Tags

Imposter website, Scams

Type

Page
19 January 2021

ASX24 Obligations Review 2020

Australian Securities Exchange Limited (ASX 24) is licensed to operate the ASX 24 derivatives market (derivatives
market) in New Zealand. The FMA is required to report at least once every two years1 on how well ASX 24 is meeting
its licensed market operator obligations. This review covers the period 1 July 2018 to 30 June 2020. T

Tags

Monitoring, Reports and Papers, Market operator, Roles, Business, News & Insights

Type

PDF
12 July 2013

consultation paper charitable and religious purposes exemption review

In this paper we seek submissions on proposals relating to the review the Financial Markets Authority (FMA) is undertaking on the Securities Act (Charitable and Religious Purposes) Exemption Notice 2003 (SR 2003/66) (the CRP Notice), which is due to expire on 30 November 2013.
FMA is reviewing the CRP Notice simultaneously with the Reserve Bank of New Zealand’s review of the appropriate treatment of charitable and religious organisations under the Non-bank Deposit Takers regime.

Tags

Consultations, Supervisor, Roles, Business

Type

PDF
6 March 2017

Adviser point of retirement research report 2017

This report summarises feedback we gathered from 10 authorised financial advisers about advice close to or at
retirement. It also includes feedback from 104 people currently receiving advice from financial advisers. The purpose of this research was to find out if financial advice helps New Zealanders manage their retirement savings. It forms part of a wider FMA project to understand the financial help and advice people receive when they retire.

Tags

Reports and Papers, Investor capability, FMA, News & Insights

Type

PDF
28 June 2017

Ice Futures Europe review 2017

ICE Futures U.S., Inc. (IFUS) is licensed to operate the IFUS derivatives market (the derivatives market) in New Zealand.
We are required to report, at least once every two years
on how well IFUS is meeting its obligations as a licensed
market operator. This review covers the period 1 December 2014 to 31 December 2016. This is our first review of
IFUS since it became licensed on 1 December 2014.

Tags

Reports and Papers, Roles, Business, Market operator, News & Insights

Type

PDF
13 December 2016

ASX 24 review 2016

Australian Securities Exchange Limited (ASX 24) is licensed to operate the ASX 24 derivatives market (derivatives
market) in New Zealand. We are required to report at least once every two years on how well ASX 24 is meeting its licensed market operator obligations. This review period covers 1 July 2014 to 30 June 2016. This is our first review of ASX 24 since its licence came into effect on 1 December 2014.

Tags

Reports and Papers, Roles, Business, Market operator, News & Insights

Type

PDF
28 June 2017

Ice Futures US review 2017

ICE Futures U.S., Inc. (IFUS) is licensed to operate the IFUS derivatives market (the derivatives market) in New Zealand.
We are required to report, at least once every two years
on how well IFUS is meeting its obligations as a licensed
market operator. This review covers the period 1 December 2014 to 31 December 2016. This is our first review of
IFUS since it became licensed on 1 December 2014.

Tags

Reports and Papers, Roles, Business, Market operator, News & Insights

Type

PDF
1 March 2014

Unsolicited Offers Monitoring Report 2014

The Securities Markets (Unsolicited Offers) Regulations 2012 came into force on 1 December 2012, in response to concerns about ’low ball’ offers. FMA closely monitored compliance with the new regulations as one of our focus areas in 2013 for building customer trust. In this report we set out our findings and observations. These are based on our monitoring activities to 14 February 2014.

Tags

Compliance, Reports and Papers, Offer information, Business, News & Insights

Type

PDF
1 July 2021

AML/CFT Regulation Update 2021

New Zealand’s Anti-Money Laundering and Countering Financing of Terrorism (AML/CFT) system is intended to adapt as money laundering and terrorism financing risks evolve. Two regulations, that are a key part of the AML/CFT system, were due to expire. These are the AML/CFT (Exemptions) Regulations 2011 which were scheduled to expire on 30 June 2020, and the AML/CFT (Definitions) Regulations 2011 which partially expire on 27 July 2021.

Tags

AML/CFT, Directors, Regulation updates, Roles, Business

Type

PDF, Guidance
1 July 2010

Review of Corporate Governance Disclosure by Selected Issuers

This 2010 report presents the findings of the Securities Commission’s review of corporate governance reporting. The purpose of this report is to inform governing bodies of our findings so that they can reflect critically on their governance practices and disclosures. In so doing, we aim to promote high standards of corporate governance by issuers and ultimately improve confidence in New Zealand’s capital markets. The report was published in 2010.

Tags

Governance, Reports and Papers, Derivative Issuer, Roles, Directors, Business, FMA, News & Insights

Type

PDF
1 November 2014

Quality Financial Reporting - How To Improve Financial Statements

In September 2014, the FMA hosted a half-day discussion forum in Auckland titled ‘Beyond International Financial
Reporting Standards (IFRS): Quality Financial Reporting’. This forum aimed to facilitate a clearer understanding of
disclosure challenges within the New Zealand environment, and identify ways to improve financial statements so they
are a clear and effective reporting and communication tool.

Tags

Directors, Reports and Papers, Roles, Auditors, Business, News & Insights

Type

PDF, Financial reporting
27 February 2019

Using behavioural insights to improve KiwiSaver outcomes

The New Zealand Government has a high-level policy intent to encourage long-term savings in order to increase wellbeing and financial independence. To contribute toward this we are running a series of trials to test whether insights from behavioural economics can improve decision-making and outcomes for KiwiSaver members. This report provides results from our second trial with ANZ.

Tags

Reports and Papers, KiwiSaver providers, Roles, Business, Managed investment schemes, News & Insights

Type

PDF, Research
28 April 2022

FMA and Irish regulator issue warning about jms-icav.com

FMA and regulatory bodies in Ireland have issued a warning about JMS-ICAV.
JMS-ICAV is not a registered financial service provider in New Zealand or licensed by the FMA and is therefore not permitted to provide financial products or services to New Zealand residents. New Zealanders have been unsuccessful removing funds from the entity.

Tags

Imposter website, Suspected scam, Unregistered business, Scams

Type

Page
16 February 2022

FMA warns about website venusfundslimited.com

WARNING: Company registration details of a New Zealand company Venus Funds Limited are displayed on the website but the New Zealand company has confirmed that they are not associated with the website. The financial services listed on the website are different to the financial service provided by the New Zealand company.

Tags

Imposter website, Suspected scam, Scams

Type

Page