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  1. 15 March 2021

    Problems with your financial adviser

    All licensed financial advice providers must be part of an approved Dispute Resolution Scheme. This means they’re required to send complaints to an agreed third party to sort out if your complaint cannot be resolved directly with you.
    Tags
    Financial advice, Get advice, Investing, Consumer
    Type
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  2. 20 January 2023

    Bonds

    When you buy a bond, you’re lending money to a bond issuer - usually a government, council or company - for a set period of time (the term). The term is fixed by the issuer and can range between one and 30 years. They’re often known as ‘fixed interest’ investments. Learn more about the different types of bonds and understand their returns, risks and costs here.
    Tags
    Bonds, Ways to invest, Investing, Consumer
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  4. 18 October 2017

    FMA allows personalised robo-advice; applications open early 2018

    The Financial Markets Authority (FMA) has decided to grant an exemption to enable personalised robo-advice and is publishing the responses to its earlier consultation. Read more.
    Tags
    Media release, Digital advice providers, Business, News & Insights
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  5. 23 March 2021

    Investment warnings signs

    Tips to spot investment warning signs that signal it's time to get out of an investment.
    Tags
    Shares, Ways to invest, Investing, Article, Consumer, News & Insights
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    Page

  6. 27 November 2017

    FMA publishes first peer-to-peer/crowdfunding statistical returns

    The Financial Markets Authority (FMA) today published its first statistical report on peer-to-peer lending and crowdfunding in New Zealand.
    Tags
    Crowdfunding providers, Media release, Roles, Business, News & Insights, Peer-to-peer lending service providers
    Type
    Page

  7. 8 August 2022

    Conduct

    Conduct is how market participants behave and how they serve the needs of customers. It is about how a business operates as a whole, and it’s driven by the culture and the governance of the organisation.This page explains the FMA's expectation of conduct by organisations that fall under its remit
    Tags
    AML/CFT, Roles, Conduct, Independent trustee, Financial Adviser, Financial Advice Provider, Offer disclosure for equity and debt offers, Discretionary investment management scheme (DIMS), Derivative Issuer, Directors, Cryptocurrencies, Crowdfunding providers, Client money or property services provider, Authorised body under a FAP, Auditors, Business, Interposed persons under new financial advice regime, Managed investment schemes, Market operator, Peer-to-peer lending service providers, Supervisor, Nominated representatives
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  8. 20 June 2023

    Services

    This section of the FMA website provides licensing, supervision and guidance information for all market participants who are licenced and monitored by the FMA.
    Tags
    Roles, Business
    Type
    Page

  9. 4 October 2018

    Peer-to-peer lending

    Peer-to-peer lending providers match people who want loans with people who might be willing to fund those loans. You may be offered a high interest rate, but this is because you take more risk. Find out more about peer-to-peer lending along with the risks and returns here.
    Tags
    Peer to peer, Ways to invest, Investing, Consumer
    Type
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  10. 16 January 2017

    Consultation paper: Requirement for managers of multiple participant schemes to register participation agreements

    Consultation paper: Requirement for managers of multiple participant schemes to register participation agreements. The proposal is to exempt these managers from the requirement to register participation agreements entered into with the various employers they service which form part of the scheme’s governing document.
    Tags
    Managed investment schemes, Supervisor, Consultations, Roles, Business
    Type
    Page

  11. 26 April 2017

    JJ Matthias Asset Management

    JJ Matthias Asset Management is not registered as a Financial Service Provider in New Zealand and is therefore not permitted to provide financial services to New Zealand residents.
    Tags
    Suspected scam, International regulator alerts, Scams
    Type
    Page

  12. 1 March 2023

    Investor warning: EZ Markets

    WARNING: FMA warns of suspicious article published by EZ Markets that could indicate a potential scam.
    Tags
    Derivative Issuer, Suspected scam, Roles, Business, Scams
    Type
    Page

  13. 20 January 2021

    FADC decision published

    The Financial Advisers Disciplinary Committee (FADC) has today published its decision regarding a case brought by the FMA.
    Tags
    Cases, Compliance, Financial advice, Media release, Business, Consumer, News & Insights, Enforcement
    Type
    Page

  14. 10 March 2021

    Financial adviser censured for code breaches

    The Financial Advisers Disciplinary Committee (FADC) has censured an Authorised Financial Advisor (AFA) following a case brought by the FMA. Read the decision on breaches and decision on penalty here.
    Tags
    Media release, News & Insights, Enforcement
    Type
    Page

  15. 27 March 2023

    Cambridge Asset Management unreasonably withholding funds

    WARNING: FMA is aware of a New Zealand investor unable to withdraw funds invested with Cambridge Asset Management.
    Tags
    Suspected scam, Investor warning, Derivative Issuer, Roles, Business, Consumer, Scams
    Type
    Page