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  1. 13 December 2021

    Craigs DBG

    Craigs DBG including: CIP Cash Management Nominees Limited, CIP Nominees No 1 Limited, Craigs Investments Partners Limited, Craigs Investment Partners Superannuation Management Limited, Custodial Services Limited, DEL Management Limited, Deutsche Craigs Limited, Hendry Nominees Limited, Karaka Management Limited, Karaka Nominees No 1 Limited, Kowhai PE Management Limited, Kowhai PE Nominees No1 Limited, Matai Management Limited, Matai Nominees No.1 Limited, NZSIF Management Limited, Pilot Bay Funds Management Limited, Pohutukawa Management Limited, Pohutukawa II Management Limited, and QuayStreet Asset Management Limited
    Tags
    AML/CFT, Roles, Reporting entities, Business, Designated Business Group (DBG)
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  2. 7 March 2023

    FAP regulatory returns questions Class 1

    This document provides an overview of the questions you'll be asked for when you submit your Class 1 FAP Regulatory Return. The regulatory returns are due by 30 September for the 12-month period from 1 July to 30 June (period of return).
    Tags
    Financial Advice Provider, Regulatory returns, Roles, Authorised body under a FAP, Business
    Type
    PDF

  3. 7 March 2023

    FAP regulatory returns questions Class 2

    This document provides an overview of the questions you'll be asked for when you submit your Class 2 FAP Regulatory Return. The regulatory returns are due by 30 September for the 12-month period from 1 July to 30 June (period of return).
    Tags
    Financial Advice Provider, Regulatory returns, Roles, Authorised body under a FAP, Business
    Type
    PDF

  4. 16 November 2022

    Investor warning for Exor Company International Ltd

    WARNING: Exor Company International Limited, and exorcompany.com, claim to be offering forex and crypto trading platforms despite not being registered to provide financial services in New Zealand.
    Tags
    Investor warning, Consumer
    Type
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  5. 22 December 2022

    FMA suspends crowdfunding licence of The Property Crowd

    We have suspended the crowdfunding provider licence of The Property Crowd after the entity materially contravened its licensee obligations.
    Tags
    Media release, Crowdfunding providers, Licensing & registration, Enforceable action, Roles,  Licence contraventions, Powers, Business, News & Insights, Enforcement
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  6. 17 December 2021

    FMA warns Squirrel P2P Trustee Limited for historic custodian breaches

    The Financial Markets Authority (FMA) - Te Mana Tātai Hokohoko has formally warned Squirrel P2P Trustee Limited for failing to carry out certain obligations as a custodian. The entity provides a custodial service for the peer-to-peer lending service of Squirrel Money Limited.
    Tags
    Roles, Media release, Business, News & Insights, Enforcement, Peer-to-peer lending service providers
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  7. 15 August 2016

    FMA warns registered financial adviser

    FMA has issued a warning to an individual in relation to suspected misleading or deceptive conduct by a registered financial adviser.
    Tags
    Media release, Financial Adviser, Enforceable Undertaking, Roles, Business, News & Insights, Enforcement
    Type
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  8. 21 December 2022

    NZICA publishes disciplinary outcomes relating to Wynyard audit by PwC

    FMA notes the New Zealand Institute of Chartered Accountants (NZICA) has released its disciplinary decisions arising from the 2015 PwC audit of the formerly NZX-listed Wynyard Group.
    Tags
    Media release, Offer disclosure for equity and debt offers, Roles, Business, News & Insights
    Type
    Page

  9. 15 December 2022

    FMA warns Pencarrow Private Equity Management for AML/CFT record-keeping failures

    We have formally warned Pencarrow Private Equity Management Limited for breaching record-keeping requirements under the AML/CFT Act.
    Tags
    Media release, Enforceable action, Formal warning, AML/CFT formal warning, Powers, Investigations, Roles, Business, Managed investment schemes, News & Insights, Enforcement
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  11. 24 June 2021

    How to operate

    Getting prepared for licensing covers: who will need a licence under the new financial advice regime; the different ways to operate under the new regime, and provides an easy-to-navigate tool that will help guide you through the options if you're unsure how you wish to operate. See more.
    Tags
    New Financial Advice regime, Client money or property services provider, Financial Advice Provider, Financial Adviser, Roles, Business, Interposed persons under new financial advice regime, Nominated representatives
    Type
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  12. 28 June 2022

    FMA publishes NZX obligations annual review 2022

    Key findings of the Financial Markets Authority’s (FMA) - Te Mana Tātai Hokohoko annual NZX Market Operator Obligations Review, which reports on how well NZX is meeting the requirements for its market operator licence. The most recent report covers the period 1 January to 31 December 2021.
    Tags
    Offer disclosure for equity and debt offers, Roles, Media release, Business, Market operator, News & Insights
    Type
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  13. 15 February 2023

    Her Money Matters - A kōrero on financial wellbeing

    The FMA hosted a panel event, Her Money Matters for women in celebration of International Women’s Day 2023. View the event details video from the event on this page. 
    Tags
    Events, Investing, Consumer, News & Insights
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  14. 9 December 2021

    AxiCorp licence suspension lifted

    The Financial Markets Authority (FMA) - Te Mana Tātai Hokohoko has lifted the suspension on the derivatives issuer licence of AxiCorp Financial Services Pty Limited (trading as AxiTrader), effective as of 2 December 2021.
    Tags
    Derivative Issuer, Enforceable action, Roles, Media release, Business, News & Insights, Enforcement
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  15. 20 January 2022

    Reserve Bank and FMA finalise FMI regulatory framework

    The Reserve Bank of New Zealand – Te Pūtea Matua and the Financial Markets Authority (FMA) - Te Mana Tātai Hokohoko have released their finalised framework for assessing the systemic importance of Financial Market Infrastructures (FMIs) following consultation with industry and stakeholders.
    Tags
    Financial market infrastructures, Regulation, Roles, Media release, Business, News & Insights
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