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  1. 13 September 2018

    The essentials of being a director

    This guide is intended to provide company directors and prospective directors with a quick reference and overview of some of the key things they should think about.
    Tags
    Directors, Roles, Business
    Type
    Page, Guidance

  4. 8 April 2024

    Peer-to-peer lending service providers

    Peer-to-peer lending is a type of financial market service covered by the FMC Act. Find out more about becoming a peer-to-peer lending service provider, the licensing and registration and compliance obligations along with exemptions available in New Zealand.
    Tags
    Compliance, Obligations, Licensing & registration, FMC Act, Exemptions, Roles, Legislation, Business, Peer-to-peer lending service providers
    Type
    Page

  5. 5 April 2024

    Authorised body under a financial advice provider licence

    An authorised body is an entity (eg company or partnership) named on a Financial Advice Provider licence. A licensed FAP must agree to an authorised body operating under its licence. The authorised body must be named on the financial advice provider’s transitional licence application, and the licensed FAP will be required to provide information about the authorised body when it applies for its licence.
    Individuals cannot be authorised bodies under a FAP licence and individual financial advice provider licence holders cannot engage authorised bodies under their licences.
    Find out more about registration, costs, ongoing obligations, duties, standard consitions, general reporting conditions, code of professional conduct, competency safe harbour, and liability and enforcement on this page.
    Tags
    Compliance, New Financial Advice regime, Authorised body under a FAP, Obligations, Licensing & registration, Roles, Financial Services Legislation Amendment Act (FSLAA), Business
    Type
    Page

  6. 8 February 2024

    Wisdom House Investment Partners Limited

    FMA filed criminal charges against Yuen Pok (Paul) Loo of Wisdom House following offences under financial markets legislation. View the history and progress of the case on this page.
    Tags
    Stop Order, Powers, Licence cancellation, Financial Advice Provider, Financial Adviser, Roles, Court – criminal, Business, Enforcement
    Type
    Page

  7. 20 October 2022

    Investments for wholesale and eligible investors

    Wholesale investment offers are aimed at experienced investors, often with large sums of money to invest. Read more about wholesale investors and investments on this page.
    Tags
    Wholesale investing, Ways to invest, Investing, Consumer
    Type
    Page

  8. 13 November 2019

    Green Knight Financial Services

    The FMA recommends exercising caution before dealing with Green Knight Financial Services and the website https://greenknightfinancialservices.com. We believe Green Knight Financial Services has the hallmarks of a scam.
    Tags
    Suspected scam, Scams
    Type
    Page

  9. 29 March 2022

    FMA warns about a Decentralised Application: eth-coinbasemart.com

    FMA are concerned that eth-coinbasemart.com (the dapp), a Decentralised Application, is involved in a scam. We have received a complaint from a New Zealand resident whose funds have been unreasonably withheld by the dapp.
    Tags
    Investor information, Suspected scam, Consumer, Scams
    Type
    Page

  10. 6 August 2020

    KiwiSaver statements starting to help members take action

    A survey that the FMA has done shows that some KiwiSaver members who recalled seeing their projected lump sum planned to take some form of action. The most common planned action was increasing contributions.
    Tags
    Media release, KiwiSaver providers, KiwiSaver & Superannuation, Managed investment schemes, Roles, Business, Consumer, FMA, News & Insights
    Type
    Page

  11. 31 August 2022

    ECHELON ADVISERS LIMITED

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

  12. 19 August 2019

    Icehouse Ventures Nominees Limited

    Icehouse Ventures Nominees Limited, FSP18944, previously known as ICE Angels Nominees Limited is an AML reporting entity.
    Tags
    AML/CFT, Reporting entities, Roles, Business
    Type
    Page

  13. 3 April 2017

    FMA confirms short-term derivatives to be licensed

    The Financial Markets Authority has today confirmed that businesses selling short-duration derivatives need to be licensed. The Financial Markets Conduct Act introduced licensing for derivatives issuers in December 2014.
    Tags
    Derivatives, Ways to invest, Investing, Media release, Consumer, News & Insights
    Type
    Page

  15. 2 June 2010

    Guide for Authorised Financial Advisers Released

    The Securities Commission today released the AFA Adviser Business Statement Guide to help financial advisers prepare for the new regulatory regime. The guide explains the document to be prepared by an adviser applying to become an Authorised Financial Adviser (AFA).
    Tags
    Media release, News & Insights
    Type
    Page, Guidance