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Found 2764 results. Displaying page 174 of 185

  1. 17 December 2015

    Consultation paper: Recognition of overseas regimes – proposed exemption relief

    Consultation paper: Recognition of overseas regimes – proposed exemption relief. We are consulting on possible exemptions for overseas issuers and overseas FMC reporting entities from a range of issues.
    Tags
    Offer disclosure for equity and debt offers, Consultations, Exemptions, Roles, Business
    Type
    Page

  2. 4 March 2016

    Consultation paper: Exemptions impacting overseas businesses, and restricted schemes

    Consultation paper: Exemptions impacting overseas businesses, and restricted schemes. This consultation details our proposed exemptions to provide relief on four issues affecting overseas businesses, and trustees for restricted schemes
    Tags
    Client money or property services provider, Independent trustee, Consultations, Exemptions, Roles, Business
    Type
    Page

  3. 13 June 2016

    FMA releases Auditor regulation and oversight plan

    The FMA has released its auditor regulation and oversight plan for 2016. The FMA’s plan sets out the new style of audit report issued by the External Reporting Board, intended to provide better information to investors.
    Tags
    Auditors, Media release, Roles, Business, News & Insights
    Type
    Page

  4. 26 June 2023

    CoFI intermediated distribution

    This guidance outlines our expectations when financial institutions are distributing products and services through intermediated channels under the Conduct of Financial Institutions (CoFI) regime.
    Tags
    Banking, Insurance Providers, Conduct of Financial Institutions Bill (CoFI), Financial Institutions, Roles, Conduct, Business, News & Insights, Supervisor
    Type
    Page, Guidance

  5. 16 June 2023

    Ice Futures Europe review

    Ice Futures Europe (IFEU) is licensed to operate the IFEU derivatives market (the derivatives market) in New Zealand. We are required to report, at least once every two years, on how well IFEU is meeting its obligations as a licensed market operator. View the report on this page.
    Tags
    Roles, Reports and Papers, Business, Market operator, News & Insights
    Type
    Page, Report

  6. 16 June 2023

    Ice Futures US review

    The FMA was required to report, at least once every two years, on how well ICE Futures U.S., Inc. (IFUS) was meeting its obligations as a licensed market operator. View the report on this page.
    Tags
    Roles, Reports and Papers, Business, Market operator, News & Insights
    Type
    Page, Report

  7. 29 June 2023

    Tiger Brokers to pay $900,000 penalty for multiple AML/CFT Act breaches

    The Auckland High Court has ordered Tiger Brokers (NZ) Limited to pay $900,000 for breaching the Anti-Money Laundering and Countering Financing of Terrorism (AML/CFT) Act 2009 (the Act), in proceedings brought by the FMA.
    Tags
    Media release, AML/CFT, Enforceable action, Judgment, Roles, Business, News & Insights, Enforcement
    Type
    Page

  10. 11 July 2023

    Mānawatia a Matariki

    Video about Matariki: an empowering time to talk about good money habits and improve financial wellbeing for our whole whānau.
    Tags
    Article, Investing, Consumer, News & Insights
    Type
    Page

  11. 8 March 2022

    Financial Markets Conduct (IG Australia Pty Limited) Exemption Notice 2022

    The Financial Markets Conduct (IG Australia Pty Limited) Exemption Notice 2022 provides relief to IG Australia Pty Limited (IG Australia) from certain financial reporting and audit obligations in the FMC Act and from certain assurance obligations and register entry requirements in the FMC Regulations.
    Tags
    Exemptions, Business
    Type
    Page

  12. 8 March 2022

    Financial Markets Conduct (JP Morgan Chase Bank N.A.) Exemption Notice 2022

    The Financial Markets Conduct (JP Morgan Chase Bank N.A) Exemption Notice 2022 exempts exempt persons (being JP Morgan Chase Bank N.A (JPM) and any related body corporate of JPM) from the substantial product holder disclosure obligations contained in sections 276 to 279 of the Financial Markets Conduct Act 2013
    Tags
    Exemptions, Business
    Type
    Page

  13. 20 July 2018

    Prosperous International Limited

    Prosperous International Limited is not registered on the Financial Service Providers Register to provide financial services in New Zealand.
    Tags
    Investor warning, Consumer, Scams
    Type
    Page

  14. 7 April 2022

    FMA issues new infringement notice against crowdfunding platform Equitise

    The Financial Markets Authority (FMA) - Te Mana Tātai Hokohoko has issued another infringement notice to Equitise Pty Ltd for failing to file financial statements on time, amid broader concerns about the firm’s ability to meet regulatory reporting deadlines.
    Tags
    Crowdfunding providers, Enforceable action, Roles, Media release, Business, News & Insights, Enforcement
    Type
    Page

  15. 31 July 2023

    Safe Trust Wealth – Unregistered, not based in NZ

    The Safe Trust website claims to be based and regulated in New Zealand while offering investment packages. Safe Trust is not registered on the FSPR nor licensed by FMA.
    Tags
    Suspected scam, Investor warning, Consumer, Scams
    Type
    Page