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  1. 7 March 2023

    FAP regulatory returns questions Class 3

    This document provides an overview of the questions you'll be asked for when you submit your Class 3 FAP Regulatory Return. The regulatory returns are due by 30 September for the 12-month period from 1 July to 30 June (period of return).
    Tags
    Financial Advice Provider, Regulatory returns, Roles, Authorised body under a FAP, Business
    Type
    PDF

  2. 27 February 2024

    Monitoring of licensed Financial Advice Providers information sheet

    The Monitoring of licensed Financial Advice Provider (FAP) information sheet explains how we carry out monitoring activities, what we expect of you, and what you can expect from us.
    Tags
    Financial Advice Provider, Roles, Business
    Type
    PDF, Information Sheet

  5. 31 October 2015

    New Zealand Discretionary Investment Management Services Limited

    New Zealand Discretionary Investment Management Services Limited (Previous name: Stewart Group Wealth Management Limited), FSP441406, is licensed to provide Discretionary Investment Management Services (DIMS).
    Tags
    Discretionary investment management scheme (DIMS), Licensed entity, Roles, Reporting entities, Business
    Type
    Page

  6. 16 April 2024

    Black Bull Markets DBG

    Black Bull Markets DBG includes Black Bull Group Limited, Black Bull Trade Limited.
    Tags
    Reporting entities, AML/CFT, Roles, Business, Designated Business Group (DBG)
    Type
    Page

  8. 8 September 2023

    Consultation: Climate-related disclosures timing challenge

    The FMA is consulting on a proposed exemption to exempt certain climate reporting entities from the requirement to include a link to their climate statements in their annual report for a 2-year period. Submissions close 7 August 2023.
    Tags
    Consultations, Roles, Authorised body under a FAP, Ethical finance, Climate related disclosure, Financial Institutions, Managed Investment Schemes, Climate Reporting Entities, Business, Managed investment schemes
    Type
    Page

  9. 19 October 2023

    Consultation: Renewal of class exemption for dual language (English and te reo Māori) product disclosure statements

    We are reviewing whether to renew for a further five years an existing class exemption notice that allows product disclosure statements to be provided in full in both te reo Māori and English (dual language PDSs). This exemption provides relief to issuers of financial products from the prescribed length limits and, if necessary, some prescribed statements and formatting. The two languages provided in the PDS must accurately and fully reflect each other, and both comprise the entire PDS.
    Tags
    Consultations, Authorised body under a FAP, Client money or property services provider, Financial Adviser, Crowdfunding Service Provider, Offers of financial products, Financial Institutions, Financial Advice Provider, Offer disclosure for equity and debt offers, Discretionary investment management scheme (DIMS), Derivative Issuer, Roles, Crowdfunding providers, Business, Interposed persons under new financial advice regime, Peer-to-peer lending service providers
    Type
    Page

  12. 4 July 2005

    Monaco Village Holdings Limited

    This undertaking is offered to the Securities Commission for acceptance under section 69J of the Securities Act 1978 by Monaco Village Holdings Limited and its directors (Robert Michael Gepp and Roderick Hugh Duke) after unintentional contravention of Securities Act 1978 and Securities Regulations 1983. Read more.
    Tags
    Enforceable undertaking, Powers, Enforcement
    Type
    Page

  13. 3 October 1994

    Power New Zealand Limited

    The decision of the Securities Commission in respect of an appeal under Section 69 Securities Act 1978 by Power New Zealand Limited against a decision of the Registrar to refuse registration of the prospectus. Read more
    Tags
    Enforceable undertaking, Powers, Enforcement
    Type
    Page

  14. 27 November 2023

    Medical Assurance Society New Zealand Limited (MAS)

    Details of the case filed in the High Court against Medical Assurance Society New Zealand Limited (MAS) can be found on this page.
    Tags
    Fair dealing, Enforceable undertaking, Powers, Court – civil, Business, Enforcement
    Type
    Page

  15. 3 November 2023

    Insider trading case involving Pushpay shares

    The FMA has filed proceedings against two individuals for alleged insider trading in relation to the sale of shares in Pushpay Holdings Limited (NZX:PPH).
    Tags
    Insider trading, Enforcement
    Type
    Page