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  1. 5 June 2014

    Strategic Finance Limited

    FMA investigation into Strategic had found that the directors( Kerry Finnigan, Graham Jackson, Marcel Lindale, Timothy Rich, Denis Thom, David Wolfenden) are likely to have breached the Securities Act by making untrue statements in a registered prospectus, investment statement and in an advertisement between March 2008 and August 2008. Read more.
    Tags
    Enforceable undertaking, Powers, Enforcement
    Type
    Page

  2. 23 April 2024

    Liquidity risk management guide

    Effective liquidity risk management is a fundamental capability that Managed Investment Scheme (MIS) managers need to implement, maintain and enhance. The guide is designed to assist managers and supervisors effectively manage and oversee liquidity risk.
    Tags
    Roles, Business, Managed investment schemes, News & Insights, Supervisor
    Type
    Page, Guidance

  3. 3 May 2024

    Warnings and alerts

    The suspected scam warnings and alerts list contains the names of businesses or individuals you should be wary of if you are planning to invest. View our list of suspected scams; fake regulators; international regulator alerts and imposter websites on this page.
    Tags
    Scams
    Type
    Page

  4. 16 January 2024

    Banking

    The FMA regulates certain products that may be offered by banks (e.g. managed funds) to you. The FMA is interested in the overall conduct of banks. THe FMA does not have a direct legislative mandate for regulating the conduct of providers of core retail banking (such as lending, credit and bank accounts).
    Tags
    Consumer banking, Consumer
    Type
    Page

  5. 15 March 2021

    Insurance advice

    An insurance adviser works with you to: Understand your needs and goals, work out what you can afford to pay in premiums, find options to suit your situation an more. An insurance adviser is a go-between who deals with insurers to arrange your insurance. They will also help if you need to claim on your insurance.
    Tags
    Financial advice, Get advice, Insurance advice, Investing, Consumer
    Type
    Page

  6. 5 July 2024

    Types of investments

    There are many ways to invest your money, though some investments are riskier than others. What’s right for you will depend on your investment goals and investing experience. Watch our video to learn more.
    Tags
    Investing, Ways to invest, Consumer
    Type
    Page

  7. 25 May 2023

    Sustainable? Ethical? The substance must back up the claims

    Paul Gregory, Executive Director Response and Enforcement, FMA talks about greenwashing and how misleading or false claims about social or environmental benefits go to the heart of fair dealing, and how the overall impression provided by marketing materials is critical.
    Tags
    Roles, Business, News & Insights, Supervisor
    Type
    Page

  8. 13 March 2024

    Natalie Ann Carter

    Between 2018 and 2020, former financial adviser, Ms Carter created various false documents for the purpose of obtaining home loans for herself and two clients.This page documents the case against Ms Carter.
    Tags
    Court – criminal, Powers, Enforcement
    Type
    Page

  9. 1 August 2022

    Kalkine

    FMA directed Kalkine New Zealand Limited to stop making outgoing sales calls to people in New Zealand following concerns about the entity’s misleading marketing conduct.
    Tags
    Activity, Misleading statement, Enforcement
    Type
    Page

  10. 4 March 2020

    Cash investments

    Cash investments include savings accounts and term deposits with a bank, credit union or building society. You can also invest cash through a managed fund (this includes KiwiSaver) which pools together money from individuals for investments, managed by a fund manager. Cash investments are relatively safe because you’re promised a fixed interest rate. But the returns you get through interest rates tend to be low, so they’re not always the best option – particularly if you’re saving for retirement. Find out more about the risks, returns and costs associated with investing in cash here.
    Tags
    Cash investments, Ways to invest, Investing, Consumer
    Type
    Page

  11. 5 July 2024

    Shares

    When you buy shares, you're buying a small part of a company. You can buy shares directly or own them through a managed fund which pools many investors’ money. Shares are riskier than other types of investments such as bonds and cash investments. Before diving into the share market, learn more about the ins and outs of trading and stock investment.
    Tags
    Shares, Ways to invest, Investing, Consumer
    Type
    Page

  12. 15 November 2016

    When strangers call bearing investment gifts: hang up

    Cold calls from strangers about investment opportunities are not only sure-fire losers, but illegal, and the Financial Markets Authority says the best response is the dial tone.
    Tags
    Media release, Consumer, News & Insights, Scams
    Type
    Page

  13. 11 May 2015

    Zagga Limited

    Zagga Limited (previously Lendme Limited), FSP393946, is licensed to provide peer-to-peer lending service.
    Tags
    Peer-to-peer lending service providers, Licensed entity, Roles, Business
    Type
    Page

  14. 14 September 2022

    KiwiSaver Statements survey

    KiwiSaver statements survey to understand members’ engagement with their annual statement and attitudes towards KiwiSaver.
    Tags
    Managed investment schemes, Supervisor, Roles, KiwiSaver & Superannuation, Business, Consumer
    Type
    Page, Surveys

  15. 15 November 2019

    Crests Financial

    We have received a complaint from a New Zealand resident who invested with Crests Financial, who are withholding the release of any funds. Crests Financial is not licensed or registered to provide financial services in New Zealand. We are concerned that they may be operating a scam.
    Tags
    Suspected scam, Scams
    Type
    Page