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  1. 30 August 2023

    Gold Wise – Imposter website

    Gold Wise offers forex and cryptocurrency investments but it is not registered to provide financial services in New Zealand.
    Tags
    Imposter website, Investor warning, Consumer, Scams
    Type
    Page

  2. 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
    Type
    Page

  4. 8 September 2023

    The People’s Reserve – Unregistered, offering digital currency

    We recommend caution when dealing with The People’s Reserve and related associates the people's choice , or any individuals, or entities promoting The Peoples Reserve digital currency (TPR) and related financial services.
    Tags
    Investor warning, Consumer
    Type
    Page

  5. 5 November 2018

    Bank Conduct and Culture Consumer Survey

    The FMA and the RBNZ commissioned Buzz Channel to conduct an online survey among New Zealanders to understand their experience of the conduct and culture of the main bank they use for their personal banking.
    Tags
    Directors, Financial Advice Provider, Conduct, Roles, Banking, Business
    Type
    Page, Surveys, Research

  6. 28 July 2022

    Ethical Investment Journey Research

    This report contains the findings from a qualitative study interviewing a range of New Zealanders about their experience of and journey to buying an ethical* investment.
    Tags
    Ethical finance, Roles, Directors, Business, Managed investment schemes, Supervisor
    Type
    Page, Research

  7. 6 March 2017

    Point of retirement research

    The purpose of this research was to find out if financial advice helps New Zealanders manage their retirement savings.
    Tags
    Authorised body under a FAP, Financial Advice Provider, Financial Adviser, Roles, Business, Managed investment schemes
    Type
    Page, Research

  8. 30 September 2021

    AML/CFT Monitoring Report

    AML/CFT Monitoring Report summarises the FMA's monitoring activities to help firms and individuals better understand our expectations.
    Tags
    AML/CFT, Compliance, Directors, Roles, Reporting entities, Reports and Papers, Business, News & Insights
    Type
    Page, Report

  9. 8 September 2023

    Ronex-Coin – Unregistered business

    We recommend caution when dealing with Ronex-Coin. Ronex-Coin offers investment plans with unrealistically high returns on crypto products and purports to be based in New Zealand but is not registered on the Financial Service Providers Register (FSPR) to provide financial services in New Zealand.
    Tags
    Investor warning, Consumer
    Type
    Page

  10. 8 September 2023

    Unregistered businesses

    These pages contain the names of businesses or individuals that are not registered as a financial service provider in New Zealand but may be offering financial services.
    Tags
    Investor warning, Consumer
    Type
    Page

  11. 21 July 2022

    Research

    Research conducted by the FMA about financial service providers, products and consumers is published on this page.
    Tags
    News, News & Insights
    Type
    Page, Research

  12. 1 April 2019

    AML/CFT 2018 Annual Monitoring Report

    This report summarises our monitoring activities from 1 July 2016 to 30 June 2018, to help reporting entities better understand our expectations, and what they can do to improve their systems and processes to comply with the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 and its supporting regulations.
    Tags
    AML/CFT, Roles, Business
    Type
    Page, Guidance

  13. 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

  14. 22 November 2019

    AML/CFT - territorial scope of the AML/CFT Act 2009

    The AML/CFT - territorial scope of the AML/CFT Act 2009 guideline is designed to help financial institutions understand the territorial scope of the Anti-Money Laundering and Countering Financing of Terrorism Act 2009.
    Tags
    AML/CFT, Roles, Business
    Type
    Page, Guidance

  15. 26 July 2019

    AML/CFT customer due diligence: co-operatives

    A co-operative is a form of business organisation that is owned and controlled by its shareholders or members, and run for their mutual benefit. The AML/CFT customer due diligence: co-operatives fact sheet may be useful when considering customers who are mutual organisations or friendly societies.
    Tags
    AML/CFT, Roles, Business
    Type
    Page, Guidance