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Found 2574 results. Displaying page 170 of 172

  1. 12 November 2018

    Oxford Finance Services

    Oxford Finance Services could be involved in a scam. It is not associated with New Zealand registered Gilrose Finance Company Limited and Oxford Finance Limited as claimed on their website.
    Tags
    Suspected scam, Scams
    Type
    Page

  2. 1 March 2018

    Kapuni Ventures

    Unregistered business: Kapuni Ventures is not a registered New Zealand Company and is not registered to provide financial services in New Zealand.
    Tags
    Investor warning, Consumer
    Type
    Page

  3. 19 April 2017

    Central Spot Trading Ltd operating as Opteck

    Opteck or Central Spot Trading Ltd is not registered in New Zealand to offer financial services in New Zealand.
    Tags
    International regulator alerts, Scams
    Type
    Page

  4. 19 April 2017

    Opteck

    Opteck is not registered in New Zealand to offer financial services in New Zealand.
    Tags
    International regulator alerts, Scams
    Type
    Page

  5. 16 November 2011

    FMA consults on auditor licensing and audit firm registration

    The Financial Markets Authority has published on its website a report written by management consultants Oliver Wyman detailing the findings of local stakeholder research. The research was conducted at the point FMA was established earlier in 2011.
    Tags
    Auditors, Media release, Roles, Business, News & Insights
    Type
    Page

  6. 23 March 2020

    FMA COVID-19 Update 23 March 2020

    Update 23 March 2020: The Government has confirmed that financial services are essential services that need to continue to operate when New Zealand moves to Level 4 in its COVID-19 response.
    Tags
    COVID-19, Directors, Roles, Business, News & Insights
    Type
    Page

  7. 24 May 2018

    New Zealand Equity Market Cleanliness for the years 2010-2016

    The assessment is based on the prevalence of abnormal price movements ahead of material price sensitive announcements -measured by the market cleanliness statistic (MCS).
    Tags
    Offer disclosure for equity and debt offers, Roles, Reports and Papers, Business, News & Insights
    Type
    Page, Report

  8. 20 May 2022

    All legislation overseen by the FMA

    FMA oversees a range of legislation. We also have certain powers, monitor compliance, investigate and enforce conduct that may consitute a contravention of other legislation where it applies to financial market firms and individuals. View all legislation we oversee on this page.
    Tags
    Legislation, Business
    Type
    Page

  9. 19 July 2023

    FMA Investor Profile – Liz Greive

    Investor profile featuring Liz Greive, a semi-retired investor and founder of Share My Super, an organisation that distributes individuals’ surplus superannuation donations to fight child poverty.
    Tags
    Article, Investing, Ways to invest, Managed funds, Consumer, News & Insights
    Type
    Page

  10. 23 July 2018

    Roiteks (otherwise known as Green Oak Limited)

    Roiteks (otherwise known as Green Oak Limited) is not registered on the Financial Service Providers Register to provide financial services in New Zealand.
    Tags
    Suspected scam, Scams
    Type
    Page

  11. 3 August 2023

    Enforcement Policy

    Our enforcement policy is intended to guide and inform financial market participants. It is also intended to be a living policy and we may revise it from time to time according to what our objectives and priorities are. It is not exhaustive and is not binding.
    Tags
    Policy, Business, Enforcement
    Type
    Page

  12. 8 December 2023

    Accredited Body Report - CPA Australia

    CPA Australia Accredited Body Report contains the findings of our monitoring assessment of CPA Australia. Read more.
    Tags
    Auditors, Roles, Reports and Papers, Business, Accredited bodies, News & Insights
    Type
    Page, Report

  13. 30 September 2018

    ERoad - Hamish Sansom and Jeffrey Peter Honey

    The FMA alleges that an Eroad employee sent text messages to a former Eroad employee that contained confidential material information relating to Eroad’s performance in the period to 30 September 2015. That individual then traded 15,000 Eroad shares. Read more.
    Tags
    Court – criminal, Powers, Enforcement
    Type
    Page

  14. 29 August 2023

    Bancorp DBG

    Bancorp DBG including: Bancorp Credit Cards Limited, Bancorp Bancorp Group Limited, Bancorp Income Choice Limited, Bancorp Wealth Management Limited, Castlerock GP Limited, Youown Housing GP Limited, Kakapo Management Limited, Kakapo GP Limited.
    Tags
    AML/CFT, Roles, Reporting entities, Business, Designated Business Group (DBG)
    Type
    Page

  15. 8 August 2022

    Conduct

    Conduct is how market participants behave and how they serve the needs of customers. It is about how a business operates as a whole, and it’s driven by the culture and the governance of the organisation.This page explains the FMA's expectation of conduct by organisations that fall under its remit
    Tags
    AML/CFT, Roles, Conduct, Independent trustee, Financial Adviser, Financial Advice Provider, Offer disclosure for equity and debt offers, Discretionary investment management scheme (DIMS), Derivative Issuer, Directors, Cryptocurrencies, Crowdfunding providers, Client money or property services provider, Authorised body under a FAP, Auditors, Business, Interposed persons under new financial advice regime, Managed investment schemes, Market operator, Peer-to-peer lending service providers, Supervisor, Nominated representatives
    Type
    Page