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  3. 28 June 2018

    NZX Obligations Review 2018

    Under the FMC Act, we are required to review at least annually how well a licensed market operator is meeting its obligations, and to publish a written report. Broadly, these relate to the areas of operation that are regulatory in nature. Publishing the report provides transparency into our oversight of NZX. This report was published in 2018.
    Tags
    Reports and Papers, Roles, Monitoring, Business, Market operator, News & Insights
    Type
    PDF

  4. 2 December 2022

    Accredited Body Report - NZICA 2022

    Findings from the FMA’s review of the adequacy and effectiveness of NZICA’s audit regulatory systems for the period 1 July 2021 to 30 June 2022.
    Tags
    Roles, Accredited bodies, Business
    Type
    PDF, Report

  6. 5 June 2020

    ANZ Bank New Zealand Limited

    Details of three cases taken by the FMA against ANZ including false and misleading representations over credit card insurance charges alleged contraventions of the Fair Trading Act 1986 by ANZ in relation to the marketing, promotion and sale of interest rate swaps to rural customers from 2005 to 2009 and ANZ Bank New Zealand Ltd challenge of FMA's decision to disclose to third parties, documents the FMA has obtained from ANZ through the exercise of its statutory powers.
    Tags
    Enforceable action, Court – civil, Misleading statement, Powers, Enforcement
    Type
    Page

  7. 2 February 2023

    BP PACIFIC INVESTMENTS LIMITED

    BP PACIFIC INVESTMENTS LIMITED is an AML reporting entity.
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  8. 26 July 2017

    Huang Investments Limited (Hong Kong)

    Huang Investments Limited is not registered to provide financial services in New Zealand.
    Tags
    International regulator alerts, Scams
    Type
    Page

  9. 30 June 2016

    Trade24 Investments Limited

    Trade24 Investments Limited is not registered as a Financial Services provider in New Zealand and is therefore not allowed to offer financial services in New Zealand.
    Tags
    Investor warning, Unregistered business, Consumer
    Type
    Page

  10. 19 August 2019

    Trinity Investments Limited

    The FMA is concerned that Trinity Investments Limited could be involved in a scam. Trinity Investments Limited is not registered as a financial service provider in New Zealand, therefore, is not permitted to provide financial services to New Zealand residents.
    Tags
    Investor warning, Unregistered business, Consumer
    Type
    Page

  11. 3 February 2023

    BRITSNZ LIMITED

    BRITSNZ LIMITED is an AML reporting entity.
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  13. 3 February 2023

    NZVC LP

    NZVC LP (FSP1001081) is an AML/CFT reporting entity
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  14. 3 February 2023

    NZAS RETIREMENT FUND TRUSTEE LIMITED

    NZAS RETIREMENT FUND TRUSTEE LIMITED (FSP518786) is an AML/CFT reporting entity
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page