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Found 4356 results. Displaying page 29 of 291

  2. 3 July 2018

    Arena Capital/Blackfort

    Mr Ryan, also known as Lance Jared Thompson, used the forex platform BlackfortFX as a façade to encourage more than 900 investors, who were mostly from the Christchurch region, to put about $8.3 million in the Ponzi scheme. Read more.
    Tags
    Court – criminal, Powers, Enforcement
    Type
    Page

  3. 23 June 2020

    CLSA Premium New Zealand Limited (CLSAP NZ)

    CLSA Premium New Zealand Limited (CLSAP NZ) was ordered to pay a total pecuniary penalty of $770,000 for breaches of the Anti-Money Laundering and Countering Financing of Terrorism (AML/CFT) Act, following proceedings brought by the FMA.
    Tags
    Enforceable action, Court – civil, Licence conditions, Powers, Derivative Issuer, Roles, Business, Enforcement
    Type
    Page

  4. 21 February 2022

    Investor alert: false claims by Leumi-vest.com

    WARNING: FMA believes Leumi Vest is falsely claiming to be operating from a New Zealand address. The website purports to offer investment plans to investors with unrealistically high returns. We are aware that an investor is unable to withdraw the funds they invested through the website.
    Tags
    Suspected scam, Scams
    Type
    Page

  5. 6 May 2021

    New law reforms the regulation of financial market infrastructures (FMIs)

    New laws to regulate and supervise payment and settlement systems have been passed by Parliament following the third reading of the Financial Market Infrastructures Bill (the Bill) yesterday. Under the Bill the Reserve Bank of New Zealand – Te Pūtea Matua (the Reserve Bank) and the Financial Markets Authority – Te Mana Tātai Hokohoko (FMA) will be joint regulators of most FMIs, including central securities depositories, securities settlement systems, central counterparties, and trade repositories. The Reserve Bank will be the sole regulator of payments systems under the new regime.
    Tags
    Regulation, Regulation updates, Media release, Business, FMA, News & Insights
    Type
    Page

  6. 24 July 2020

    FMA publishes derivatives issuer Sector Risk Assessment

    A report identifying key risks in the Derivatives Issuer (DI) sector and highlighted future focus areas to improve sector compliance. Firms issuing derivatives to retail customers in New Zealand must be licensed by the FMA. The sector has approximately 23,000 accounts operated by retail customers.
    Tags
    Compliance, Cryptocurrencies, Derivatives, Governance, Regulation, Roles, Ways to invest, Investing, Media release, Business, Consumer, FMA, News & Insights
    Type
    Page

  7. 13 September 2018

    Guide to being an effective director

    The essentials of being an effective director outlines some of the essential behaviours directors should demonstrate to meet legal, regulatory and ethical standards for directors, and tells you where you can go to find out more.
    Tags
    Directors, Roles, Business
    Type
    Page, Guidance

  8. 14 November 2022

    FMA Investor Profile - Dillon Balasingham

    Our latest Investor Profile features Dillon Balasingham, a 22-year-old student at the Victoria University of Wellington, and Co-President of the University’s Finance and Investment Club.
    Tags
    Investing, Shares, Ways to invest, Article, Consumer, News & Insights
    Type
    Page

  9. 17 March 2023

    Financial advice regulatory regime - now in full effect

    Financial advice regulatory regime now in full effect and all financial advice providers (FAPs) must hold or operate under a full licence from the FMA if they want to provide regulated financial advice to retail clients.
    Tags
    Media release, Authorised body under a FAP, Financial Advice Provider, Financial Adviser, New Financial Advice regime, Roles, Financial Services Legislation Amendment Act (FSLAA), Business, News & Insights, Nominated representatives
    Type
    Page

  12. 16 August 2023

    Speech by Clare Bolingford to the Financial Services Council Conference 2023

    Clare Bolingford, FMA Executive Director, Regulatory Delivery. Speech to the Financial Services Council Conference, 16th August 2023.
    Tags
    Speeches and presentations , Conduct, FMA people, Conduct of Financial Institutions Bill (CoFI), Business, FMA, News & Insights
    Type
    Page

  14. 2 May 2023

    ‘5 mins with the FMA’ podcast #6: Financial Advice Providers

    ‘5 mins with the FMA’ podcast #6: We talk to Michael Hewes about New Zealand’s new-look financial advice regime, which has just passed a major milestone, with all financial advice providers now required to hold or operate under a full license.
    Tags
    Financial Advice Provider, Roles, Licensing & registration, Podcast, Business, News & Insights
    Type
    Page, Podcast

  15. 31 October 2023

    Climate-related Disclosures – Scenario analysis information sheet

    This information sheet details compliance expectations of the FMA for scenario analysis disclosures made under the climate-related disclosures (CRD) regime.
    Tags
    Authorised body under a FAP, Banking, Ethical finance, Insurance Providers, Climate related disclosure, Financial Institutions, Climate Reporting Entities, Roles, Business, Managed investment schemes, News & Insights
    Type
    Page, Guidance