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  1. 4 October 2018

    Investment software packages and seminars

    Investment or ‘wealth creation’ software or seminars promising large returns are almost always too good to be true and that ‘opportunity of a lifetime’ may even turn out to be a scam. Understand the risks before you sign up.
    Tags
    Investment software packages, Ways to invest, Investing, Consumer
    Type
    Page

  4. 9 October 2015

    Second SPGI director pleads guilty to FMA charges

    Company director, Mark Andrew Turnock, has pleaded guilty to a charge brought by the FMA, relating to his involvement as director of SPGI. Read more.
    Tags
    Cases, Media release, News & Insights, Enforcement
    Type
    Page, Financial reporting

  5. 28 November 2016

    Collinson Crowdfunding Limited

    Collinson Crowdfunding Limited, FSP509686, is licensed by the FMA to provide crowdfunding services.
    Tags
    Crowdfunding providers, Roles, Licensed entity, Business
    Type
    Page

  6. 11 May 2015

    Zagga Limited

    Zagga Limited (previously Lendme Limited), FSP393946, is licensed to provide peer-to-peer lending service.
    Tags
    Peer-to-peer lending service providers, Licensed entity, Roles, Business
    Type
    Page

  8. 1 June 2015

    Funds Administration New Zealand Limited

    Funds Administration New Zealand Limited, FSP3961, is licensed to provide Discretionary Investment Management Services (DIMS).
    Tags
    Discretionary investment management scheme (DIMS), Licensed entity, Roles, Business
    Type
    Page

  9. 8 August 2016

    Quartz Wealth Management Limited

    Quartz Wealth Management Limited, FSP54701, is licensed to provide Discretionary Investment Management Services (DIMS).
    Tags
    Discretionary investment management scheme (DIMS), Licensed entity, Roles, Business
    Type
    Page

  10. 1 October 2019

    Persons providing false FMA documentation in suspected scam

    The FMA is aware that false letters and receipts featuring the FMA logo and staff names have been used overseas to solicit money. The false letters claim that a mandatory fee is payable to enable the FMA to obtain official documents and facilitate the approval of loan funds. The correspondence is fictitious and characteristic of advance fee fraud. The FMA does not undertake activities of the type described in the letter and would never ask individuals or entities for money for activities or transactions of this type.”
    Tags
    Suspected scam, Scams
    Type
    Page

  11. 20 November 2020

    Fake/Cloned FCA Email

    The FMA has been made aware of New Zealand residents receiving an email purportedly from the United Kingdom’s Financial Conduct Authority (FCA). These emails include a link for the recipient to complete a compliance due diligence questionnaire.
    Tags
    Fake regulator, Scams
    Type
    Page

  12. 19 July 2019

    Financial Markets Conduct (Silver Chef Limited) Exemption Notice 2019

    Financial Markets Conduct (Silver Chef Limited) Exemption Notice exempts Silver Chef Limited, subject to conditions, from the disclosure and governance requirements of Parts 3 and 4 of the Financial Markets Conduct Act 2013 (the Act), in relation to an offer made in connection with an Australian scheme of arrangement involving the exchange of all Silver Chef shares from existing Silver Chef shareholders resident in New Zealand for a combination of a cash and contingent value notes.
    Tags
    Exemptions, Secondary legislation, Business
    Type
    Page

  13. 27 July 2020

    FAQs about our immediate priorities during the COVID-19 response and recovery

    It's not yet known how long the pandemic will continue to impact New Zealand’s financial sector. Work on our medium-term strategic priorities is ongoing, but we recognise COVID-19 poses immediate challenges and could seriously undermine consumer confidence and damage the wider sector. We will also continue to progress the medium-term strategic activities that support our statutory objective of fair, efficient and transparent financial markets.The immediate priorities in this FAQ document relate to the foreseeable three to six month timeframe. However, we also plan to publish a corporate plan later this year outlining our key areas of focus and work programme, once there is greater certainty on the impact of COVID-19 on the financial sector. Read our FAQs here.
    Tags
    COVID-19, Regulation, Regulation updates, Business, FMA, News & Insights
    Type
    Page

  14. 19 November 2020

    Private investment company impersonated by scammers

    GRC Investments Limited is a private investment company based in Christchurch that scammers have sought to exploit by impersonating them. The FMA issued a warning in September that an investment scam appeared to be operating under a similar name – G.R.C Trustee.
    Tags
    Consumer, Scams
    Type
    Page

  15. 24 February 2021

    norgroveassociatesltd.com

    We are concerned the operators of the website www.norgroveassociatesltd.com may be operating a scam. We have received a report that they have refused to process withdrawal requests in line with clients’ instructions and asked for further payments in order to release funds.
    Tags
    Imposter website, Suspected scam, Scams
    Type
    Page