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Found 4356 results. Displaying page 26 of 291

  2. 23 January 2015

    Notification of Warning: individual trader – market manipulation

    The Financial Markets Authority has issued a warning to an individual in relation to suspected market manipulation. Following an investigation by the FMA, it concluded that trading by the individual in question has likely breached the Securities Markets Act 1988. Read more.
    Tags
    Market manipulation, Enforcement
    Type
    Page

  6. 17 December 2020

    Paradox Therapeutics

    We recommend exercising caution when dealing with Paradox Therapeutics. Paradox Therapeutics representatives have made unsolicited calls to New Zealand residents offering investment in the entity.
    Tags
    Imposter website, Suspected scam, Scams
    Type
    Page

  7. 13 July 2017

    Former RFA sentenced at Auckland District Court

    A former registered financial adviser, Anthony Wilson, who forged clients’ initials and falsely amended insurance applications has been sentenced to 150 hours of community work, 6 months community detention and ordered to pay reparations of $16,461.24.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  8. 12 July 2022

    Self assessment tool complaints handling

    Use this self-assessment tool to see if you’re ready to complete the complaints handling section of your Class 1 or Class 2 FAP full licence application. It should help you identify areas of strength or weakness in your full licence preparation so you can seek further help or advice and address any gaps before you apply.
    Tags
    Authorised body under a FAP, Financial Advice Provider, Roles, Business
    Type
    PDF

  9. 1 July 2016

    AML CFT How to complete your annual CFT user guide 1

    This user guide is designed to help financial advisers to complete their annual AML/CFT report (annual
    report) quickly and easily. It clarifies the questions in the report template that may be open to interpretation and identifies questions that are unlikely to be relevant to small financial adviser businesses. It does not include the questions that don’t need explanation. This guide is current for 2016.
    Tags
    AML/CFT, Roles, Business
    Type
    PDF, Resource

  10. 29 November 2019

    Council of Financial Regulators sets work priorities for 2020

    The Council of Financial Regulators (CoFR) has announced its work priorities for the coming year.
    The work programme includes seven separate work streams, each led by one of the CoFR agencies, but involving all the members (alongside other government agencies as necessary) in a coordinated effort to tackle issues that reach across the financial system.
    Tags
    Media release, Governance, FMA, News & Insights
    Type
    Page

  11. 16 March 2023

    How the FAP licence classes compare

    Before you apply for a Financial Advice Provider (FAP) licence, you’ll need to decide whether you want to be considered for a Class 1, Class 2, or Class 3 licence. Use this table as a general guide to help you determine the class of FAP licence that is best suited to you and your plans for your business.
    Tags
    Financial Advice Provider, Licence guide, Roles, Licensing & registration, Business
    Type
    PDF

  12. 18 December 2017

    Financial Markets Conduct (Financial Statements for Schemes Consisting Only of Separate Funds) Exemption Notice 2017

    The exemption granted by Financial Markets Conduct (Financial Statements for Schemes Consisting Only of Separate Funds) Exemption Notice 2017 exempts the manager of some schemes from the requirement to prepare financial statements for the scheme (as opposed to financial statements for each of the separate funds) provided the criteria in clause 5 are met.
    Tags
    Exemptions, Secondary legislation, Business
    Type
    Page

  13. 15 June 2023

    Uoncrypto – Unregistered, withdrawal fees demanded

    We recommend caution when dealing with Uoncrypto.com. Uoncrypto offers New Zealanders investment plans with unrealistically high returns on crypto products but is not registered on the financial service providers register (FSPR) to provide financial services in New Zealand.
    Tags
    Investor warning, Consumer
    Type
    Page
    • Imposter website

    18 June 2024

    Xcel Trader - Imposter website, withholding funds

    Xcel Trader is offering managed investment plans with unrealistic returns. It is not registered on the Financial Service Providers Register, which is required for entities offering financial products and services in New Zealand
    Tags
    Imposter website, Investor warning, Consumer, Scams
    Type
    Page