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  3. 16 August 2017

    Regulation Update: August 2017

    Read our latest update on changes to regulation in the following areas: making annual reports available to shareholders electronically; fees and levies; defined benefit schemes register obligations; civil liability and rating agency.
    Tags
    Regulation updates, Business
    Type
    Page

  4. 4 December 2020

    ARA Prescribed Minimum Standards and Conditions

    An auditor/audit firm must meet the minimum standards and conditions as prescribed under section 32 of the Auditor Regulation Act 2011. Read more about these standards and conditions.
    Tags
    Auditors, Licensing & registration, Roles, Business
    Type
    Page

  9. 1 August 2013

    Loan2Day Financial Company Limited

    Loan2Day Financial Company Limited is not registered to provide broker services in New Zealand.
    Tags
    Investor warning, Unregistered business, Consumer
    Type
    Page

  10. 1 March 2018

    Queue Option

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

  11. 3 February 2023

    CAPITALGROUP (QUEENS) LIMITED

    CAPITALGROUP (QUEENS) LIMITED is an AML reporting entity.
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  14. 10 February 2023

    JORDAN FINANCIAL PLANNING NZ LIMITED

    JORDAN FINANCIAL PLANNING NZ LIMITED is an AML/CFT reporting entity
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  15. 3 February 2023

    Consultation: Proposed guidance on reasonable grounds for financial advice about IPOs and listed equity securities

    We are consulting on proposed guidance that explains the FMA’s approach to applying and enforcing Code Standard 3 of the Code of Professional Conduct for Financial Advice Services, in relation to financial advice about Initial Public Offerings (IPOs) and listed equity securities.
    Tags
    Consultations, Financial Advice Provider, Financial Adviser, Roles, Business, Nominated representatives
    Type
    Page