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  1. 2 May 2022

    Investor alert: false claims by Onyx Group Limited

    WARNING: We are concerned that Onyx Group Limited (‘Onyx’) is involved in a scam. We have received a complaint about this company cold-calling New Zealand residents offering pre-IPO shares* and unreasonably withholding client funds.
    Tags
    Shares, Ways to invest, Investing, Imposter website, International regulator alerts, Suspected scam, Consumer, Scams
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  2. 31 August 2022

    Copyright

    You are welcome to use material from this website as long as its source is acknowledged. Authorisation to use any material on this site that is subject to copyright of a third party must be obtained from the copyright holder. For Silverstripe support, search keyword: xyyxyyxyy
    Tags
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  3. 31 July 2014

    FMA issues first equity crowd funding licences

    The Financial Markets Authority today issued its first equity crowd funding licences under the Financial Markets Conduct Act 2013.
    Tags
    Crowdfunding providers, Media release, Roles, Business, News & Insights
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  5. 28 July 2010

    Issuers Could Improve Corporate Governance Reporting

    The Securities Commission's latest review of corporate governance reporting shows that while most issuers are doing well, many need to improve their disclosures when it comes to ethical standards, directors and executive's remuneration, risk management, and shareholder and stakeholder relations.
    Tags
    Media release, News & Insights
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  6. 18 October 2016

    New Zealand’s latest film festival brings fraud to the big screen

    The inaugural New Zealand International Fraud Film Festival (Fraud Film Festival) is being held on 18 & 19 November at Auckland’s Q Theatre and is timed to coincide with Fraud Awareness Week. The festival is affiliated with the Dutch Fraud Film Festival which first took place in 2014.
    Tags
    Campaigns, Media release, Investing, Consumer, News & Insights
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  7. 21 June 2017

    FMA seeks feedback on robo-advice exemption

    The FMA is seeking feedback on its proposals to allow entities to provide personalised financial advice generated by a computer programme or algorithm (robo-advice). This would be a temporary measure before new legislation is passed by Parliament.
    Tags
    Media release, Digital advice providers, Business, News & Insights
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  8. 7 August 2015

    Squirrel Money Limited

    Squirrel Money Limited, FSP354706, is licensed to provide peer-to-peer lending service.
    Tags
    Peer-to-peer lending service providers, Licensed entity, Roles, Business
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  9. 16 June 2015

    Foundry Asset Management Limited

    Foundry Asset Management Limited, FSP35303, is licensed to provide Discretionary Investment Management Services (DIMS).
    Tags
    Discretionary investment management scheme (DIMS), Licensed entity, Roles, Business
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  10. 25 August 2016

    Kevin Charles Ferguson

    Kevin Charles Ferguson, FSP481866, is a licensed Independent Trustee.
    Tags
    Independent trustee, Licensed entity, Roles, Business
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  11. 1 June 2015

    Nomura Financial

    NZ Police have identified Nomura Financial as sophisticated overseas scammers.
    Tags
    Suspected scam, Scams
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  12. 2 August 2021

    WTI Limited

    WTI Limited is not a registered financial service provider in New Zealand or licensed by the FMA. We therefore recommend exercising caution when dealing with this entity.
    Tags
    Imposter website, Suspected scam, Consumer, Scams
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  13. 23 August 2021

    FMA issues warning to Sharesies for AML/CFT breaches

    The Financial Markets Authority (FMA) - Te Mana Tātai Hokohoko – has issued a formal warning to Sharesies Limited and Sharesies Nominee Limited for failing to have sufficient anti-money laundering procedures, policies, and controls in place.
    Tags
    AML/CFT, Roles, Media release, Enforceable action, Business, News & Insights, Enforcement
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  14. 11 December 2014

    FMA publishes its first medium-term strategic risk outlook

    FMA published its seven-point strategic risk outlook, identifying the areas where it will apply the majority of its regulatory effort in the medium-term. The priorities will direct the FMA’s work in licensing, supervision, compliance and enforcement.
    Tags
    Media release, FMA, News & Insights
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  15. 8 July 2014

    FMA issues New Zealand’s first licence for peer-to-peer lending services

    The Financial Markets Authority (FMA) has issued its first peer-to-peer lending service licence. Auckland-based Harmoney is the first provider of this new financial service, under the provisions of the Financial Markets Conduct Act 2013.
    Tags
    Peer-to-peer lending service providers, Media release, Roles, Business, News & Insights
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