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  1. 5 August 2021

    Retail investor platforms research

    Research commissioned by the Financial Markets Authority to learn more about the use of online investing platforms, including investor profiles and behaviours.
    Tags
    Roles, Reports and Papers, Business, FMA, News & Insights
    Type
    Page, Research

  2. 15 March 2022

    Articles

    Articles from the FMA about the financial services industry and investing are published on this page
    Tags
    News, News & Insights
    Type
    Page

  3. 14 February 2023

    Guidance and expectations for keeping proper accounting records

    Guidance and expectations to help FMC reporting entities to meet their statutory requirement to keep proper accounting records at all times.
    Tags
    Auditors, Offer disclosure for equity and debt offers, Roles, Business
    Type
    Page, Guidance, Financial reporting

  4. 26 July 2019

    AML/CFT customer due diligence: clubs and societies

    The AML/CFT customer due diligence: clubs and societies provides guidance for clubs and societies. The type of entity the club or society is will determine the customer due diligence (CDD) that is undertaken.
    Tags
    AML/CFT, Roles, Business
    Type
    Page, Guidance

  5. 11 July 2019

    Cyber-resilience in FMA-regulated financial services guidance

    Cyber-resilience in FMA-regulated financial services report summarises the findings of our thematic review of cyber-resilience in New Zealand financial services and provides guidance for firms in areas where we have identified the need for improvement. It will be useful for our regulated sectors, to help ensure they comply with our expectations and best practice.
    Tags
    Derivative Issuer, Crowdfunding Service Provider, Financial Adviser, Financial Advice Provider, Offer disclosure for equity and debt offers, Discretionary investment management scheme (DIMS), Cryptocurrencies, Client money or property services provider, Authorised body under a FAP, Roles, Directors, Crowdfunding providers, Business, Interposed persons under new financial advice regime, FMA, Managed investment schemes, Market operator, Peer-to-peer lending service providers, Supervisor, Nominated representatives
    Type
    Page, Guidance

  6. 19 January 2023

    Managed Investment Scheme – Sector Risk Assessment

    This sector risk assessment (SRA) identifies some areas in the Managed Investment Schemes (MIS) sector the FMA considers to be higher risk.
    Tags
    Reports and Papers, KiwiSaver providers, Roles, Supervisors, Business, Managed investment schemes, News & Insights
    Type
    Page

  7. 31 July 2017

    Offering securities in New Zealand and Australia under mutual recognition

    The Offering securities in New Zealand and Australia under mutual recognition guide explains what issuers have to do under the trans-Tasman mutual recognition scheme when making financial product offers in Australia and New Zealand.
    Tags
    Offer information, Managed Investment Schemes, Supervisors, Business
    Type
    Page, Guidance

  8. 15 September 2023

    Cluncoin Earn – Imposter website

    We recommend exercising caution when dealing with Cluncoin Earn. It is offering investments and is not registered to provide financial services in New Zealand.
    Tags
    Imposter website, Investor warning, Consumer, Scams
    Type
    Page

  9. 5 October 2023

    FMA report: Lessons learned from Barry Kloogh Ponzi

    The FMA published a report on the findings of its inquiries following the Barry Kloogh fraud. These inquiries focused on the services provided to Kloogh by third party market participants.
    Tags
    Media release, Client money or property services provider, Financial Adviser, Roles, Business, News & Insights, Enforcement
    Type
    Page

  11. 27 October 2023

    TylerTech Finance – Suspected scam

    We are concerned about TylerTech Finance and its website, which has the hallmarks of a scam.
    Tags
    Suspected scam, Investor warning, Consumer, Scams
    Type
    Page

  12. 12 October 2023

    Unregistered businesses

    The FMA publishes the names of unregistered businesses that have been reported as offering financial services to New Zealanders.
    Tags
    Investor warning, Consumer
    Type
    Page

  13. 20 May 2020

    Altrice Investment Co. Limited

    We are concerned Altrice Investment Co. Limited has the hallmarks of a scam, including contacting New Zealand residents with investment opportunities. Altrice is also requesting clients to transfer additional funds before being able to withdraw investments.
    Tags
    Suspected scam, Scams
    Type
    Page

  14. 28 May 2021

    belgrovefinance.com

    We are concerned the operators of the website www.belgrovefinance.com may be operating a scam. The website is falsely claiming to be registered in New Zealand. It falsely states it is associated with Belgrove Finance and Investments Limited, an entity incorporated in New Zealand.
    Tags
    Imposter website, Suspected scam, Scams
    Type
    Page

  15. 13 December 2023

    Bronte FX - Imposter website

    We recommend caution when dealing with Bronte FX Limited and associated companies.
    Tags
    Imposter website, Investor warning, Consumer, Scams
    Type
    Page