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  1. 29 April 2024

    Guidance

    The guidance library contains the FMA’s guidance notes, information sheets, guides and other reference material.
    Tags
    Business
    Type
    Page, Guidance

  2. 1 February 2013

    NZ finance company collapses (2006–2012)

    The scale and circumstances of the Finance industry failure since 2006 gave rise to concerns of inappropriate behaviour and breaches of the Securities Act and a programme of investigations into the failures was initiated. Read more.
    Tags
    Enforcement
    Type
    Page

  4. 11 August 2023

    Enforcement Activity

    Through our investigation and enforcement activities we aim to raise standards of behaviour, deter misconduct, and hold to account those whose conduct harms the fair, efficient and transparent operation of our financial markets. View our list of enforcement actions and cases on this page.
    Tags
    Cases, Enforceable action, Enforceable undertaking, Powers, Enforcement
    Type
    Page

  6. 3 May 2016

    Craigs Investment Partners Limited

    The FMA conducted an investigation into potential breaches of the Anti-Money
    Laundering and Countering Financing of Terrorism Act 2009 in relation
    to Craigs. Read more.
    Tags
    AML/CFT, Roles, Formal warning, Powers, AML/CFT formal warning, Business, Enforcement
    Type
    Page

  7. 2 April 2024

    Consultation: Proposed exemption for certain green, social, sustainability and sustainability-linked bonds

    The FMA is consulting on a proposed class exemption to provide relief from disclosure requirements for certain green, social, sustainable, and sustainability-linked bonds. Have your say by 30 April 2024 .
    Tags
    Consultations, Offer disclosure for equity and debt offers, Ethical finance, Managed Investment Schemes, Climate Reporting Entities, Roles, Business
    Type
    Page

  8. 24 April 2024

    Hz-cap.com - Imposter, unsolicited offer

    Hz-cap.com has been cold calling New Zealand residents, attempting to offer an investment in Starlink IPO. Unsolicited offers of financial products are prohibited in New Zealand.
    Tags
    Imposter website, Scams
    Type
    Page
    • Suspected scam

    1 May 2024

    Equity Budget – Suspected scam

    We recommend caution when dealing with Equity Budget. Equity Budget is making false claims about being an investment company and being a registered New Zealand company.
    Tags
    Suspected scam, Investor warning, Consumer, Scams
    Type
    Page

  10. 29 April 2024

    AML/CFT customer due diligence: companies

    New Zealand companies are incorporated under the Companies Act 1993. Overseas companies that carry on business in New Zealand are also required to be registered under Part 18 of the Companies Act.
    Customer Due Diligence - Companies Section 11 of the Anti-Money Laundering and Countering Financing of Terrorism Act 2009 (the Act) requires you to conduct CDD on:
    - a customer;
    - any beneficial owner of a customer;
    - any person acting on behalf of a customer.
    Tags
    AML/CFT, Roles, Authorised body under a FAP, Client money or property services provider, Crowdfunding providers, Derivative Issuer, Discretionary investment management scheme (DIMS), Business, Managed investment schemes, News & Insights, Peer-to-peer lending service providers, Supervisor
    Type
    Page, Guidance

  11. 29 April 2024

    AML/CFT Customer Due Diligence – Companies

    This guidance assists reporting entities to conduct customer due diligence (CDD) under the AML/CFT Act 2009 on their customers who are companies. Published Oct 2022.
    Tags
    AML/CFT, Compliance, Roles, Authorised body under a FAP, Client money or property services provider, Crowdfunding providers, Derivative Issuer, Discretionary investment management scheme (DIMS), Business, Managed investment schemes, Peer-to-peer lending service providers, Supervisor
    Type
    PDF, Information Sheet

  12. 6 May 2024

    Statement of Intent 2013 - 2016

    Our SOI has a four-year outlook and follows the SRO by identifying the performance measures we will use to mark our progress towards achieving our regulatory objectives. This is our 2013 - 2016 report.
    Tags
    Type
    PDF, Statement of intent, Corporate publications

  13. 6 May 2024

    Statement of Intent 2014 - 2018

    Our SOI has a four-year outlook and follows the SRO by identifying the performance measures we will use to mark our progress towards achieving our regulatory objectives. This is our 2014 - 2018 report.
    Tags
    Type
    PDF, Statement of intent, Corporate publications

  14. 9 May 2024

    Financial Markets Conduct (Abacus Storage King) Exemption Notice 2024

    The Financial Markets Conduct (Abacus Storage King) Exemption Notice 2024 (Notice) exempts Abacus Storage Operations Limited (ASOL) and Abacus Storage Property Trust (the Trust) (together the issuers), and Abacus Storage Funds Management Limited (ASFML) (as responsible entity for the Trust under Australian law) from compliance with the disclosure requirements in Part 3 of the Financial Markets Conduct Act 2013 Act (Act)
    Tags
    Exemptions, Business
    Type
    Page

  15. 10 May 2024

    CapitalGroup DBG

    CapitalGroup DBG and the following entities are under DBG and the AML reporting entities list.
    Tags
    AML/CFT, Roles, Reporting entities, Business, Designated Business Group (DBG)
    Type
    Page