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  1. 23 November 2020

    Axes LLC

    Axes LLC is not a registered financial service provider and is unable to offer financial services/products to New Zealand residents.
    Tags
    Investor warning, Unregistered business, Consumer
    Type
    Page

  2. 21 October 2020

    BND Traders and DMAX

    https://www.bndtraders.com/ and https://www.dmaxinvestments.com/services-real-estate/  are not registered financial service providers in New Zealand or licensed by the FMA.
    Tags
    Investor warning, Unregistered business, Consumer
    Type
    Page

  3. 18 November 2019

    AG Markets

    AG Markets is not to provide financial advice services in New Zealand.
    Tags
    Investor warning, Unregistered business, Consumer
    Type
    Page

  4. 28 September 2021

    Cullman Mutual Capital

    WARNING: Cullman Mutual Capital is not a registered New Zealand company and is not registered to provide financial products or services to New Zealand residents.
    Tags
    Investor warning, Unregistered business, Consumer
    Type
    Page

  5. 27 July 2018

    White Square Trading Limited

    White Square Trading Limited is not a registered financial service provider in New Zealand
    Tags
    International regulator alerts, Suspected scam, Scams
    Type
    Page

  6. 12 March 2020

    Trade99

    Trade99 could be involved with a scam.
    Tags
    Suspected scam, Scams
    Type
    Page

  7. 29 March 2019

    FADC Findings published

    The Financial Advisers Disciplinary Committee (FADC) has published its findings in a case referred to the Committee by the FMA. Read more.
    Tags
    Media release, Financial Adviser, Roles, Business, News & Insights
    Type
    Page

  8. 15 March 2023

    Business or individual with financial advisers

    Business or individual with financial advisers is a way you can operate under the new financial advice regime. Holding a financial advice provider licence in your individual name means you cannot call yourself a financial adviser and you will be personally responsible for any liabilities incurred as a financial advice provider, including liabilities for breach of legal duties (we will provide more information about this soon).See the licensing requirements; costs; duties and obligations, and next steps you should take here.
    Tags
    New Financial Advice regime, Business
    Type
    Page

  9. 15 March 2023

    Single adviser business

    Single adviser business is a way you can operate under the new financial advice regime. The licence can be in your business name (if, for example, you run your business through a company and your company will hold the licence with you as the individual adviser) or your individual name, if you personally hold the licence in your own name. See the licensing requirements; costs; duties and obligations and next steps to take here.
    Tags
    New Financial Advice regime, Business
    Type
    Page

  10. 31 July 2017

    Mark Warminger

    The FMA has issued civil proceedings seeking pecuniary penalties against Mr Warminger for trading carried out between January and August 2014. The FMA alleges that MR Warminger’s conduct amounted to market manipulation in breach of s11B of the Securities Markets Act 1988.
    Tags
    Enforcement
    Type
    Page

  11. 9 June 2011

    FMA warns of unacceptable KiwiSaver sales practices

    The Financial Markets Authority is urging investors to be wary of unacceptable sales practices being used in selling some KiwiSaver schemes.
    Tags
    Media release, Formal warning, Powers, News & Insights, Enforcement
    Type
    Page

  12. 6 March 2023

    KiwiSaver annual statistical returns

    The purpose of this guide is to explain how to complete the KiwiSaver annual statistical return and the page provides a link to FMA's online services where you can complete your return online.
    Tags
    KiwiSaver providers, Regulatory returns, Roles, Business, Managed investment schemes
    Type
    Page

  13. 16 June 2021

    KiwiSaver switching research

    A review of KiwiSaver member behaviour in response to COVID-19. The research focused on the increased switching behaviour observed during the period of heightened market volatility in Feb-April 2020.
    Tags
    COVID-19, Roles, Reports and Papers, Business, Managed investment schemes, News & Insights, Supervisor
    Type
    Page, Research

  14. 26 January 2021

    ASX 24 derivatives market review released

    The Financial Markets Authority (FMA) has published the findings of its obligations review of the ASX 24 derivatives market for the period of 1 July 2018 to 30 June 2020.
    Tags
    Compliance, Derivatives, Ways to invest, Investing, Roles, Media release, Business, Consumer, Market operator, News & Insights
    Type
    Page

  15. 1 December 2021

    Medical Kiwi Limited

    Medical Kiwi Limited, a medicinal cannabis company, was admitted to breaching the fair dealing provisions of the Financial Markets Conduct Act.
    Tags
    Enforceable undertaking, Powers, Enforcement
    Type
    Page