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    • Cases

    20 May 2024

    Rangi Savage

    FMA filed civil proceedings against Rangi Wyatt Stephen Savage for making an unregulated public offer for the sale of shares in The Powder Shed Tokoroa Limited (Powder Shed).
    Tags
    Cases, Enforcement
    Type
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  4. 21 May 2024

    Investment advice

    An investment adviser works with you to: Understand your needs and goals,
    find options to suit your situation, explain how each investment works, the risks and possible returns, and what it costs, and more.
    Tags
    Financial advice, Get advice, Investment advice, Investing, Consumer
    Type
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  5. 8 November 2022

    Mortgage advice

    A mortgage adviser works with you to: Understand your needs and goals, work out what you can afford to borrow, find options to suit your situation and more. A mortgage adviser is a go-between who deals with banks or other lenders to arrange a home loan for you.
    Tags
    Financial advice, Get advice, Mortgage advice, Investing, Consumer
    Type
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  6. 15 March 2021

    Working with a financial adviser

    Learn what it's like working with an adviser. All advisers must follow the new Code of professional conduct for Financial Advice Services. The code says an adviser must: treat clients fairly, act with integrity,
    have competence, knowledge, and skill, give suitable advice, and ensure it’s understood properly. They must also protect client information.
    Tags
    Financial advice, Get advice, Investing, Consumer
    Type
    Page

  7. 23 May 2019

    Superannuation products

    Superannuation schemes are managed fund investments. When you save via a superannuation scheme, your money is pooled with other New Zealander’s in your scheme and is spread across different kinds of investments. Some schemes offer additional benefits such as life or disability insurance. If you’re considering joining a workplace savings scheme instead of KiwiSaver, make sure you compare the benefits first.
    Tags
    KiwiSaver & Superannuation, Consumer
    Type
    Page

  8. 15 March 2021

    Insurance advice

    An insurance adviser works with you to: Understand your needs and goals, work out what you can afford to pay in premiums, find options to suit your situation an more. An insurance adviser is a go-between who deals with insurers to arrange your insurance. They will also help if you need to claim on your insurance.
    Tags
    Financial advice, Get advice, Insurance advice, Investing, Consumer
    Type
    Page
    • Imposter website

    23 May 2024

    Trustpodia – Imposter website

    Trustpodia is displaying a Certificate of Incorporation document on its website using the details of the registered New Zealand company Trust Company (C&S Trust) Limited, which has confirmed no association with Trustpodia.
    Tags
    Imposter website, Investor warning, Consumer, Scams
    Type
    Page

  10. 8 April 2024

    Discretionary Investment Management Service (DIMS)

    To provide discretionary investment management services (DIMS) under the FMC Act you must hold a DIMS market services licence issued under the FMA Act. Find out more about the licensing, fees associated with licensing, compliance obligations and exemptions available to this role in New Zealand.
    Tags
    Compliance, Discretionary investment management scheme (DIMS), Obligations, Licensing & registration, Roles, Business
    Type
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  11. 4 February 2020

    KiwiSaver projections

    We can help you understand how your KiwiSaver savings projection might calculated. From April 2020, your personal annual KiwiSaver statement will show you what your KiwiSaver savings may be worth at age 65.
    Tags
    Investing, KiwiSaver & Superannuation, Consumer
    Type
    Page

  13. 28 May 2024

    Matthew Hill

    The FMA alleged that between February 2013 and July 2020, Mr Hill made dozens of posts on Sharetrader in a thread about New Talisman under two usernames, “bullish” and “Epithermal”. Mr Hill, who is also a director and shareholder of New Talisman, did not, at any point, disclose his involvement in the company, the FMA asserts in the claim. Mr Hill’s conduct was revealed in July 2020 when Sharetrader publicly identified him as the person behind the usernames.
    Tags
    Market manipulation, Cases, Enforcement
    Type
    Page

  14. 31 May 2024

    FAP regulatory returns

    All licensed FAPs are required to complete and submit an annual regulatory return. The regulatory return is a series of questions to obtain an up-to-date understanding of the nature, size and complexity of your financial advice provider service. This page provides you with information relevant to your annual regulatory return.
    Tags
    Authorised body under a FAP, Financial Advice Provider, Roles, Business
    Type
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  15. 31 May 2024

    FMA cancels Stockfox Limited’s FAP licence

    The FMA has cancelled Stockfox Limited’s (Stockfox) Financial Advice Provider (FAP) licence with effect from 30 May 2024.
    Tags
    Media release, Authorised body under a FAP, Financial Advice Provider, Financial Adviser, Enforceable undertaking, Licence cancellation, Roles, Powers, Business, News & Insights, Enforcement, Nominated representatives
    Type
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